HC 387-I Published on 31 March 2010 by authority of the House of Commons London: The Stationery Office Limited £0.00 

# House of Commons Science and Technology Committee


# The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

Eighth Report of Session 2009–10

Report, together with formal minutes

Ordered by the House of Commons to be printed 24 March 2010The Science and Technology Committee

The Science and Technology Committee is appointed by the House of Commons to examine the expenditure, administration and policy of the Government Office for Science. Under arrangements agreed by the House on 25 J une 2009 the Science an d Technology Committee was established on 1 October 2009 with the same membership and Chairman as the former Innovation, Universities, Science and Skills Commi ttee and its proceedings were deemed to have been in respect of the Scie nce and Technology Committee.

Current membership
Mr Phil Willis (Liberal Democrat, Harroga te and Knaresborough)(Chair) Dr Roberta Blackman-Woods (Labour, City of Durham) Mr Tim Boswell (Conservative, Daventry) Mr Ian Cawsey (Labour, Brigg & Goole) Mrs Nadine Dorries (Conservative, Mi d Bedfordshire) Dr Evan Harris (Liberal Democrat, Oxford West & Abingdon) Dr Brian Iddon (Labour, Bolton South East) Mr Gordon Marsden (Labour, Blackpool South) Dr Doug Naysmith (Labour, Bristol North West) Dr Bob Spink (Independent, Castle Point) Ian Stewart (Labour, Eccles) Graham Stringer (Labour, Manchester, Blackley) Dr Desmond Turner (Labour, Brighton Kemptown) Mr Rob Wilson (Conservative, Reading East)

Powers The Committee is one of the departmental Select Committees, the powers of which are set out in House of Commons Standing Orders, principally in SO No. 152. These are available on the Internet via www.parliament.uk.

Publications The Reports and evidence of the Committee are published by The Stat ionery Office by Order of the House. All publications of the Committee (inc luding press notices) are on the Internet at http://www.parliament.uk/ science. A list of reports from the Committee in this Parliament is included at the back of this volume.

Committee staff
The current staff of the Committee are: Glenn McK ee (Clerk); Richard Ward (Second Clerk); Dr Christopher Tyler (Committee Spec ialist); Xameerah Malik (Committee Specialist); Andy Boyd (Senior Committee Assistant); Camilla Brace ( Committee Assistant); D ilys Tonge (Committee Assistant); Melanie Lee (Commi ttee Assistant); Jim Hudson ( Committee Support Assistant); and Becky Jones (Media Officer).

Contacts All correspondence should be addressed to the Clerk of th e Science and Technology Committee, Committee Office, 7 Millbank, London SW1P 3JA. The telephone number for general inquiries is: 020 7219 2793; the Committee’s e-mail a ddress is: scitechc om@parliament.uk.The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 1



# Contents

Report Page
Summary 3

1 Introduction 5 The Climatic Research Unit at UEA 5 The disclosure of climate data 5 The aftermath 6 The independent inquiries set up by UEA 7 Our inquiry 8 Our Report 9

2 Datasets 10 Climate science 10 Context 11 Complaints and accusations 11 Transparency 12 Dishonesty 19 Perverting the peer review process 21

3 Freedom of information issues 24 Freedom of Information legislation 24 Alleged breaches of the Freedom of Information Act 2000 26 The e-mails 26 Correspondence with the Deputy Information Commissioner 28 Volume of requests 33

4 Independent inquiries 36 The Independent Climate Change Email Review 36 Terms of reference 36 The Review team 38 Transparency 40 Scientific Appraisal Panel 41 Public view of the climate science 42 Need for a single review 44

5 Conclusions 46

Conclusions and recommendations 47

Formal Minutes 52

Witnesses 55

List of written evidence 552 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

List of unprinted evidence 57
List of Reports from the Committee during the current Parliament 58The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 3



# Summary

The disclosure of climate data from the Climatic Research Unit (CRU) at the University of East Anglia (UEA) in November 2009 had the potential to damage th e reputation of the climate science and the scientists involved.

We believe that the focus on CR U and Professor Phil Jones, Dire ctor of CRU, in particular, has largely been mispla ced. Whilst we are concerned that the disclosed e-mails suggest a blunt refusal to share scientif ic data and methodologies with others, we can sympathise with Professor Jones, who must have found it frus trating to handle reques ts for data that he knew—or perceived—were motivated by a desire simply to undermine his work. In the context of the sharing of data and methodologies, we consider that Professor Jones’s actions were in line with common practice in the climate science community. It is not standard practice in climate science to publish the raw data and the compu ter code in academic papers. However, climat e science is a matter of grea t importance an d the quality of the science should be irreproachable. We therefore consider t hat climate scientists should take steps to make available all the da ta that support their work (including raw data) and full methodological workings (includi ng the computer code s). Had both been available, many of th e problems at UEA coul d have been avoided.

We are content that th e phrases such as “tri ck” or “hiding the decli ne” were colloquial terms used in private e-mails and the balance of e vidence is that they were not part of a systematic attem pt to mislead. Lik ewise the evidence t hat we have seen does not suggest that Professor Jones was trying to subvert th e peer review process. Academics should not be criticised for making informal comments on academic papers.

In the context of Freedom of Information (FOIA) , much of the resp onsibility should lie with UEA. The disclosed e-mails appear to sh ow a culture of non-disclosure at CRU and instances where information may have been deleted, to av oid disclosure. We found prima facie evidence to suggest that the UEA found ways to support the culture at CRU of resisting disclosure of information to climat e change sceptics. The failure of UEA to grasp fully the potential dama ge to CRU and UEA by the non-di sclosure of FOIA requests was regrettable. UEA needs to review its policy towards FOIA and re-asse ss how it can support academics whose expertise in this area is limited. The Deputy Information Commissioner has given a clear indication th at a breach of the Freedom of Informatio n Act 2000 may have occurred but that a prosecution was timebarred; however no investigation has been carried out. In our vi ew it is unsatisfactory to leave the matter unresolved. We conclude that the ma tter needs to be resolved conclusively—either by the Independent Climate Change Email Review or by the Information Commissioner. We accept the i ndependence of the Clima te Change E-mail Review and recommend that the Review be open and transparent, taking or al evidence and conducting interviews in public wherever possible.

On 22 March UEA announced th e Scientific Appraisal Pane l to be chaired by Lord4 Optional header

Oxburgh. This Panel should de termine whether the work of CRU has been soundly built and it would be premature fo r us to pre-ju dge its work.The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 5



# 1 Introduction

1. On Friday 20 November 2009 it was reported across the world that hackers had targeted a “leading climate research unit” 1 and that e-mails from the University of East Anglia’s (UEA) Climatic Research Unit (CRU), one of the world’s foremost centres of climate science, had been published in the internet. 2 The story of the substantial file of private emails, documents and data that had been leaked helped igni te the global warming debate in the run up to the Cope nhagen climate change conference in Decembe r 2009. As reported by the press, exchanges on the internet allege d that data had been manipulated or deleted, in order to support evide nce on global warming.



### The Climatic Resear ch Unit at UEA

2. UEA was founded in 1963 and in 1972 UEA established CRU. 3 CRU’s website describes the Unit as being “widely recognised as one of the world’s leading institutions concerned with the study of natural and anthropogenic [h uman caused] climate change”. 4 CRU has a staff of around thirty research scientists and students. 5 But as we heard in oral evidence, it is in fact “a very small Un it [with only] three full-time members of academic staff”. 6

3. CRU has developed a number of the datasets widely used in climate research, including the global temperatu re record used to moni tor the state of the clim ate system, as well as statistical software packages an d climate models. In its written submissi on to the inquiry UEA outlined CRU’s “pioneering role” in the science of understanding the world’s changing climate. CRU’s co ntributions included the co mpilation of a global land temperature record and the development of increasingly sophistica ted methods by which to represent the average temperat ure of the globe and changes in that average over time. 7 Professor Edward Acton , the Vice-Chancellor of UEA, indicated that he was “immensely proud of what they have done; [as] without them humanity wo uld be vastly less able to understand c limate change.” 8

The disclosure of climate data

4. In mid November 2009 it appea red that a server used by CRU had been accessed with 160 MB of data containing more than 1,000 e-mails and 3,000 other documents being

1 “Hackers target leading climate research unit”, BBC News website , 20 November 2009 news.bbc.co.uk/1/hi/sci/tech/8370282.stm 2 For example: “Hacked E-Mail Is New Fodder for Climate Dispute”, New York Times website , 21 November 2009 www.nytimes.com/2009/11/2 1/science/earth/21clim ate.html?_r=4 and “Hackers leak em ails, stoking cl imate debate”, Sydney Morning Herald website , 23 November 2009, www.smh.com.au/t echnology/technology-news/hackers-leakemails-stoking-climate-debate-20091123-iu6u.html 3 Ev 17, paras 1.2 and 1.5
4 “About the Climatic Research Unit”, CRU website, www.cru. uea.ac.uk/cru/about/

5 As above
6 Q 92 7 Ev 17, paras 1.5-1.6
8 Q 1526 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

copied. 9 A UEA spokeswoman confirmed that th e information was not available on a server that could be easily accessed and could not have been inadvertently released. 10 It is not known exactly when the breach occurred; the RealCli mate website, “a commentary site on climate science by working climate scientists for the inte rested public and journalists”, 11 indicated that UEA had been notified of the possible se curity breach on 17 November. 12 The following was pos ted anonymously on the climate-sceptic blog, The Air Vent : November 17, 2009 at 9:57 pm
We feel that climate science is, in the cu rrent situation, too important to be kept under wraps. We hereby release a random selection of correspondence, co de, and documents. Hopefully it will give some insight into the scie nce and the peop le behind it. 13

From here the debate was “blown wide open”. 14 The Guardian ran the story on 20 November with the headline: “Climate sceptics claim leaked e-mails are evidence of collusion among scientists”. 15

5. UEA issued a statement on 20 November: “This information has been obtained and published without our permission and we took immediate action to remove the server in question from operation. We are undertakin g a thorough internal investigation and we have involved the police in this inquiry.” 16 The e-mails containe d technical and routine aspects of climate research, in cluding data analysis and details of scie ntific conferences. The controversy has focused on a small number of e-mails, par ticularly those sent to, or written by, climatologist Professor Ph il Jones, the Director of CRU.

The aftermath

6. Condemnation of alleged malpractices found within the leaked CRU e-mails was quickly disseminated on the internet. Co ntributors to climate change debate websites and written submissions to us claimed that these e-mails showed a delibera te and systemat ic attempt by leading climate scientis ts to manipulate climate data, arbitrarily adjusting and “cherrypicking” data that su pported their global warming claims and deleting adverse data that questioned their theories. 17 It was alleged t hat UEA may not have complied with the requirements of the Freedom of Informatio n Act 2000, that inap propriate statistical methods and defective computer programmes may have been used to analyse data and that

9 RealClimate website archive, November 2009, www.realclimate.org/index.php/archives/2009/11/the-cru-hack 10 “Scotland Yard call in to probe clim ate data leak from UEA in Norwich”, Norwich Evening News , 1 December 2009 11 RealClimate website ‘about’ page, www.realclimate.org 12 RealClimate website archive, November 2009, www.realclimate.org/index.php/archives/2009/11/the-cru-hack; the data may have been downloaded on to the RealClimate—see paragraph 12. 13 The Air Vent website, November 2009 archive, noconsensus.wordpress.com/2009/11/page/3/

14 As above 15 “Climate sceptics claim leaked emails are evidence of collusion among scientists”, The Guardian , 20 November 2009 16 “Sceptics publish climate e-mails ‘s tolen from East Anglia University’”, The Times , 21 November 2009 17 For examples see Ev 85 [Roger Helmer MEP], Ev 92 [Godfrey Bloom MEP], and Ev 144 [Stephen McIntyre]The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 7

CRU may have attemp ted to abuse the proce ss of peer review to pr event the publication of research papers with conflictin g opinions about climate change. 18

7. In a statement released on 24 November , Professor Trevor Davies, UEA pro-ViceChancellor with responsibility for research, rejected calls for Pr ofessor Jones’s resignation: “We see no reason for Profe ssor Jones to resign and, inde ed, we would not accept his resignation. He is a valued and important scientist.” 19 He also contested several of the claims of malpractice: “It is well known within the scientif ic community and particularly those who are sceptical of climate change that over 95% of the raw st ation data has been accessible through the Global Historical Clim atology Network for several years. We are quite clearly not hiding inform ation which seems to be the sp eculation on some blogs and by some media commenta tors”. He added: There is nothing in the stolen material which indicates that peer-reviewed publications by CRU, and others, on the nature of global warming and related climate change are not of the highest-qua lity of scientific investigation and interpretation. CRU’s peer-reviewed publi cations are consistent with, and have contributed to, the overwhelming scientif ic consensus that the climate is being strongly influenced by human activity. 20

8. On 1 December, Professor Jone s announced that he would st ep aside from the Director’s role during the course of the independent review. 21

The independent inquiries set up by UEA

9. On 3 December UEA announced that an in dependent review—the Independent Climate Change Email Review—into the allegations made against CRU would be carried out by Sir Muir Russell. 22 Professor Acton explained in a letter to us why Sir Muir was chosen to head the review: Sir Muir is extremely experi enced in public life, has an understandin g of the conduct of universities and re search, and is entirely independent of any association with this University and with the climate change debate. 23

10. Alongside the Independen t Climate Change E-Mails Review, UEA decided on a separate scientific assessment of CRU’s key scie ntific publications; an external reappraisal of the science itself. The Royal Society agreed to assist UEA in identifying assessors with the requisite experience, standing and independence. 24 UEA announced on 22 March that Lord Oxburgh FRS would “chair an independent Scientific Assessment Panel to examine

18 For examples see Ev 90 [Phillip Bratby]; Ev 115 [David Holland], para 2; Ev 144 [Stephen McIntyre]; Ev 194 [Peabody Energy Company], para 24. 19 “Climate scientist at centre of leaked email row dismisses conspiracy claims”, The Guardian , 24 November 2009 20 UEA, “CRU update 2”, 24 November 2009, www.uea.ac.uk/mac/comm/media/press/2009/nov/CRUupdate 21 UEA, “CRU update 3”, 1 December 2009, www.uea. ac.uk/mac/comm/media/press/2009/nov/CRUupdate 22 “Sir Muir Russell to head the Independent Review into the allegations against the Climatic Research Unit (CRU)”, UEA Press Release, 3 December 2009, www.uea.ac .uk/mac/comm/media/pre ss/2009/dec/ CRUreview

23 Ev 16 24 Ev 18, para 2.38 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

important elements of the published science of the Climatic Research Unit (CRU) at the University of East Anglia”. 25


### Our inquiry

11. We were concerned by the press reports and on 1 Decem ber 2009 the Chair of the Committee wrote to the Vice-Chanc ellor of UEA. The letter explained th at we took a close interest in academic integrity and the systems in place to ensure th e quality of evidence from research and evide nce-based policy making. The letter requested a note on the recent events setting out:
a) what had taken place;
b) the steps that had been take n to investigate the allegations and to test the integrity of the data held and used by CRU;
c) how CRU justified its commitment to academic transparency; and
d) how the Vice-Chancellor proposed to restor e confidence in CRU and its handling of data.

We also asked for an assurance that none of the data referred to in the e-mails that had been publicised had been destroyed. 26

12. UEA replied on 10 December 20 09. It explained that “a sign ificant amount of material including emails and document s appears to have been accessed illegally from a back-up server in CRU and do wnloaded in whole, or possibly in part, on to the RealClimate website.” 27 This incident was the subj ect of a police enquiry and the Norfolk Constabulary investigation was expected to ta ke some time. UEA was keen to stress that this “episode is being treated very seri ously” and announced that it had set up the independent inquiry, headed by Sir Muir Ru ssell, to investigate the allegations ag ainst CRU. UEA said that “none of the adjusted station data re ferred to in the emails that have been published has been destroyed.” 28

13. In the light of the gravity of the allegations against CRU, the growing weight of damaging press coverage, on-goi ng concerns about the deleti on of data and the serious implications for UK science we de cided to hold an inquiry into the disclosure of the data at CRU. On 22 January 2010 we therefore anno unced the inquiry inviting submissions on three key issues:

• What were the implications of the disclosure s for the integrity of scientific research?

• Were the terms of referenc e and scope of the Independ ent Review announced on 3 December 2009 by UEA adequate?

25 “CRU Scientific Assessment Panel announced”, UEA Press Release, 22 March 2010, www.uea.ac.uk/mac/comm/media/press/CRUstatements/SAPannounce 26 House of Commons Science and Technology Committee Press Notice 04, 7 December 2009, Session 2009–10

27 Ev 16

28 Ev 17The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 9

• How independent were the ot her two international data sets (see paragraph 23)?

14. If there had been more time available before the end of this Parliament we would have preferred to carry out a wider inquiry into the science of global warming itself. In response to enquiries we issued a statemen t on 1 February making it clear that the inquiry would focus on the terms of reference announced on 22 January and that this was not an inquiry into global warming. 29

15. We set a deadline of 10 Febr uary for the submission of memoranda and we have received 58 submissions, not including supplementary memoranda. We held one oral evidence session on 1 Ma rch, when we took evide nce from five panels:
a) Rt Hon Lord Lawson of Blaby, Chairman , and Dr Benny Peiser, Director, Global Warming Policy Foundation;
b) Richard Thomas CBE, former Information Commissioner;
c) Professor Edward Acton, Vice-C hancellor, UEA and Professor Phil Jones, Director of CRU;
d) Sir Muir Russell, He ad of the Independent Climat e Change E-Mail s Review; and
e) Professor John Bedding ton, Government Ch ief Scientific Advise r, Professor Julia Slingo OBE, Chief Scientist, Met Office, and Professor Bo b Watson, Chief Scientist, Department for Environment, Food and Rura l Affairs.

16. We would like to thank everyone who cont ributed to the inquiry through written submissions or oral evidence. We also received unsolicited co pies of a numb er of books challenging anthropogenic globa l warming and reviewi ng events at CRU and the disclosed e-mails. 30



### Our Report

17. In the time left before the end of this Pa rliament we will not be able to cover all the issues raised by the events at UEA, nor cover all the ground that would be covered by the Independent Climate Change Em ail Review and the Scientific Appraisal Panel. We have therefore concentrated on what we believe to be key issues. Of cent ral concern is the accuracy and availability of CRU’s data, da tasets and computer programming, which we address in Chapter 2 of this Report; and related to the data and methodology is the question of access, or the wi thholding of access, under th e Freedom of Information Act 2000 which we cover in Chapter 3. Finally, in Chapter 4 we comment on the independent reviews that UEA has announced.

29 House of Commons Science and Technology Committee Press Notice 11, 1 February 2010, Session 2009–10 30 The Committee received the following books: Christopher Booker, The Real Global Warming Disaster , Continuum, 2009 A.W. Montford, The Hockey Stick Illusion , Stacey International, 2010 Steven Mosher and Tom Fuller, Climategate , St Matthew Publishing, 2010 Ian Plimer, Heaven and Earth , Quartet Books Limited, 200910 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia



# 2 Datasets

Climate science

18. Climate is distinct from weather : it is the average of weather conditions over a number of years. Climatologists study climates in differ ent parts of the world and for the Earth as a whole. CRU, according to its website: “has develo ped a number of the da ta sets widely used in climate research, in cluding the global temp erature record used to monitor the state of the climate system, as well as statist ical software packages and climate models”. 31

19. The process of calculating the Earth’s averag e global temperatures (past, present and future) is complicated and lengthy. Data from thousands of weat her stations all around the world, on land and at sea, must be co llected, checked for qu ality, adjusted for inconsistencies and error margins , and then mapped onto a seri es of grids on the Earth’s surface. The methods, results and conclusions are then pres ented to the academic world, first by passing the peer revie w process prior to publication, an d second, after presentation, the scrutiny of the wider academic community.

20. Climate science, like any ot her science, uses the scie ntific method to make its assessments of past and present climate and pr edictions about the future climate. The key characteristics of the scientific method can be described as: characte risations, hypotheses, predictions, and experiments.

• Characterisations: considerat ion of a problem, and examin ation of whether or not an explanation exists for it.

• Hypotheses: if no such explanation exists, a new explanation is stated.

• Predictions: what co nsequences follow from a new explanation?

• Experiments: is the outc ome consistent with the predicted consequences? Each of these is subject to peer review prio r to the formal sharing of knowledge through publication. Through peer review scientists al low their views and methods to be critically appraised expertly and externally.

• Replication and verification

To have the results and conc lusions survive crit icism or scepticism and be part of the accepted canon of scientific knowledge, most experiments will hav e to be demonstrably replicable (by the same group) to pass peer review and will of ten need to be verified by other independent researchers taking similar approaches.

21. Therefore climatologists are, like other scient ists, required to test their theories—such as global warming and the caus es of warming—against observat ional data. They must also replicate and verify their experiments, by holding independent da tasets and conducting independent analyses of these datasets, and by publishing th eir full methods and results for

31 www.cru.uea.ac.uk/cru/aboutThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 11

scrutiny. Ultimately, these ideas are put up to th e threat of falsification by other scientists working in the field.

22. In this Chapter we discuss some aspects of this process.



### Context

23. There are three main international climate da tasets, which have be en built up from direct temperature measurements on land and sea at weather stations all around the world:
a) the National Climatic Data Center (NCDC) of the National Oceanographic and Atmospheric Administration (NOAA) in Asheville, North Carolina, USA;
b) the Goddard Institute of Space Studies (GIS S), part of the National Aeronautic and Space Administration (NASA) in New York, USA; and
c) CRUTEM3, at CRU, UEA. 32

24. In addition, there are two oth ers, one in Russia and one in Japan, that use similar methods. 33 There are also two that use satellite ob servations, by the Un iversity of Alabama at Huntsville and by Remote Sensing Sy stems, California. 34

25. Professor Jones, commenting on the differe nt climate research groups around the world in the UK, US, Russia and Japan, 35 told us that: we are all working independently so we may be using a lot of co mmon data but the way of going from the raw data to a derived product of gridded tem peratures and then the average for the hemisphere and th e globe is totally in dependent between the different groups. 36

26. What sets the CRU dataset apar t is its comprehensiveness:
The CRU dataset, which form s the land surface componen t of the HadCRUT global temperature record, was compiled with th e aim of comprehens iveness. The majority of the data in it are derived from the same freely-available raw data sets used by NOAA and NASA. However, it also includes data derive d from station data that were obtained directly from countries, institutions and scientists on the understanding that they would not be passed on. 37


### Complaints and accusations

27. The complaints and accusations made agains t CRU in relation to the scientific process come under two broad headings. Th e first is transparency: that CRU failed to abide by best

32 Ev 21, para 4.2
33 Q 78 34 Ev 104 [D.R. Keiller], para 2
35 Q 79
36 Q 80 37 Ev 64 [John Beddington and Julia Slingo]12 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

scientific practice by refusing to share its ra w data and detailed me thods. The second is honesty: that CRU ha s deliberately misreprese nted the data, in or der to produce results that fit its preconceived views about the anthropogenic warmin g of the climate. We take each of these complaints and accusatio ns in turn.

Transparency

Raw data

28. Warwick Hughes, a “freelance earth scientist from Australia”, 38 had asked Professor Jones for CRU’s raw data. He received the following reply: I should warn you that some data we have we are not supposed [to] pass on to others. We can pass on the gridded da ta—which we do. Even if WMO [World Meteorological Organization] ag rees, I will still not pass on the data. We have 25 or so years invested in the wo rk. Why should I make the data available to you, when your aim is to try and find something wrong with it. 39

29. On the face of it, this looks like an unreason able response to a reasonable request. As Lord Lawson put it: “Ask any decent scientist an d they will say the keystone for integrity in scientific research is full and transparent disclo sure of data and methods”. 40 However, Professor Jones, while confessing that he has sent some “awful” e-mails, 41 defended his position.

30. First, in answer to the question of whethe r the raw data are acce ssible and verifiable, Professor Jones told us that: The simple answer is yes, most of the sa me basic data are ava ilable in the United States in something called the Global Hi storical Climatology Network. They have been downloadable there for a number of years so people ha ve been able to take the data, do whatever method of assessment of the quality of the data and derive their own gridded product and compare that with other workers. 42

31. In addition, of course, there are the sources of the data, th e weather stations, to which any individual is free to go and collect the data in the same way that CRU did. This is feasible because the list of stations that CRU used was published in 2008. 43

32. Even if CRU had wanted to, it would have been unable to publish all of these data because, as Professor Acto n explained, some of the da ta are bound by commercial agreements with differ ent national meteorol ogical organisations:

38 www.warwickhughes.com 39 Ev 158, Appendix 1
40 Q 9
41 Q 103
42 Q 78
43 Q 98The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 13

Unfortunately, several of these countries impose con ditions and say you are not allowed to pass [on the data]. Seven coun tries have said “No, yo u cannot”, half the countries have not yet answered, Canada and Poland are amongst those who have said, “No you cannot publish it” and also Sw eden. Russia is very hesitant. We are under a commercial promise, as it were, not to; we are long ing to publish it because what science needs is the most openness. 44
(The issue with Sweden has since been resolved. The Swedish Meteorological and Hydrological Institute gave pe rmission for CRU to publish its Swedish data on the UEA website on 8 March 2010. 45 )

33. Second, as UEA explained in its submission, it is: sometimes necessary to adjust temperature data because ch anges in stat ion location, instrument or observation ti me, or in the methods used to calculate monthly average temperatures can introduce fa lse trends. These have to be removed or adjusted, or else the overall seri es of values will be incorrect. In th e early 1980s, CRU painstakingly examined the long-term ho mogeneity of each station temperature series which it acquired. As a result, data were adjusted for about 11% of the sites, that is approximately 314 sites out of a then-total of some 3,276. This was in complete accordance with st andard practice, and all ad justments were documented. 46

34. Professor Jones added, when he gave oral evidence:
It is all documented [...] what [adjustments we made to the data] in the 1980s and since then we have obviously added more station data as more has become available, as countries have digiti sed more data; we have added th at in and we have reported on that in our peer review publications in 2003 and 2006. 47

35. These kinds of adjustments to raw data take a lot of time. That is why, in the words of Professor Jones, “Most scientists do not want to deal with the raw station data, they would rather deal with a derived product”. 48

36. A third point was made by Professor Ac ton that CRU should not be under any obligation to pr ovide raw data: May I also point out that it is not a national archive, it is not a library, it is a research unit. It has no special duty to conserve an d its data is the copy of data provided by over 150 countries, whose national meteor ological stations turn the data into the average for a month. 49

44 Q 94 45 Ev 39, para B 46 Ev 18, para 3.4
47 Q 81
48 Q 107
49 Q 9214 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

37. CRU’s refusal to release the raw data gave some the impr ession that it was deliberately keeping its work private so that its studies could not “be replicated and critiqued”. 50 The Peabody Energy Company said of CRU that “they appeared to be particularly concerned that putting their infor mation in the public domain wo uld expose their work to criticism”. 51 Even an effort to conduct a simple qua lity check was said to be thwarted by CRU’s unwillingness to shar e the data it had used. 52 In contrast, NASA has been able to make all its raw data available as well as its programmes. 53

38. We recognise that some of the e-mails suggest a blunt re fusal to shar e data, even unrestricted data , with others. We acknowledge that Professor Jones must have found it frustrating to handle requests for data th at he knew—or perceived—were motivated by a desire simply to seek to undermine his work. But Professo r Jones’s failure to handle helpfully requests for data in a field as im portant and controversia l as climate science was bound to be viewed with suspicion. He was obviously frustrat ed by other workers in the field trying to “undermine” his work, but his action s were inevitably counterproductive. Professor Jones told us that the published e-mails represented only “one tenth of 1%” of his ou tput, which amounts to one mi llion e-mails, and that we were only seeing the end of a protracted se ries of e-mail exchanges. We consider that further suspicion could have b een allayed by releasing all the e-mails. In addition, we consider that had the available raw data been available online from an early stage, these kinds of unfortunate e-mail exchanges would not have oc curred. In our view, CRU should have been more open with its raw data and followed the more open approach of NASA to making data available.

39. We are not in a position to set out any further the extent, if any, to which CRU should have made the data av ailable in the interests of transparency, and we hope that the Independent Clim ate Change Email Review will reach specific conclusions on this point. However, transparency and accountability are of ar e increasing importance to the public, so we recommend th at the Government reviews the rules for the accessibility of data sets collected and an alysed with UK public money.

Methods

40. The Royal Society of Chemistry in its submission made it clear that: It is essential that the pu blic and all non-specialists re main truly conf ident in the scientific method to provide a sound scientif ic evidence-base on which strong decisions can be made. 54

There have been critici sms that Professor Jones and colleagues have not shared their methodologies. Andrew Montford, author of The Hockey Stick Illusion
, 55 pointed out in his memorandum that:

50 Ev 194 [Peabody Energy Company], para 20

51 As above 52 Ev 152 [Steven Mosher], para 8
53 Q 150 [Professor Jones]
54 Ev 170, summaryThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 15

The scientific method demands that findings be subject to testing and verification by others. The refusal of CRU sc ientists to release information to those who they felt might question or threaten their findings have led many to conclude that the CRU’s work is not trustworthy. 56

41. Professor Jones contested thes e claims. According to him, “The methods are published in the scientific pape rs; they are relatively si mple and there is nothing that is rocket science in them”. 57 He also noted: “We have made all th e adjustments we have made to the data available in these reports 58 ; they are 25 years old now”. 59 He added that the programme that produced the global temperature average had been available from the Met Office since December 2009. 60

42. On this basis, he ar gued, it was unnecessary to provide the exact codes that he used to produce the CRUTEM3 chart. The Met Office had released its code and it produced exactly the same result. 61

43. In answer to the charge that the computer codes that were stolen from CRU’s computer network were defective, 62 Professor Jones pointed out that:
Those codes are from a much earlier time, they are from the period about 2000 to 2004. [They] do not relate to the prod uction of the global and hemispheric temperature series. They are no thing to do with that, they are to do with a different project [...] that was funded by the British Atmospheric Da ta Centre, which is run by NERC, and that was to produce more gr idded temperature data and precipitation data and other variables. A lo t of that has been released on a Dutch website and also the BADC website. 63

44. CRU’s alleged refusal to discl ose its assumptions and method ologies gave credence to the view that exposure to “i ndependent scrutiny would have undermined the AGW [anthropogenic global warming] hypothesis”. 64 However, the failure to publish the computer code for CRUTEM3 left CRU vulnerable when concerns emerged that other codes it used had faults. Jo hn Graham-Cumming, a professi onal computer programmer, told us that:

55 Andrew Montford, The Hockey Stick Illusion: Climateg ate and the corruption of science , Stacey International, 2010
56 Ev 159, para 4
57 Q 92 58 Raymond Bradley, Mick Kelly, Phil Jones and others, A Climatic Data Bank for Northern Hemisphere Land Areas, 1851-1980 , US DoE, Technical Report TRO17, 1985, p 335; Phil Jones, Sarah Raper, Ben Santer, and others, A Grid Point Surface Air Temperature Data Set for the Northern Hemisphere , DoE Technical Report No. TR022, US Department of Energy, 1985, p 251; Phil Jones, Sarah Raper, Claire Goodess, and others, A Grid Point Surface Air Temperature Data Set for the Southern Hemisphere, 1851-1984 , DoE Technical Report No. TR027, US Department of Energy, 1986, 73
59 Q 97

60 As above
61 Qq 139-42 62 Ev 32, Q 137; Ev 196 [John Graham-Cumming]
63 Qq 137-38 64 Ev 94 [Clive Menzies], para 1.516 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

the organization writ ing the [other] co de did not adhere to st andards one might find in professional software engineering. The co de had easily identifi ed bugs, no visible test mechanism, was not apparently under version control and was poorly documented. It would n ot be surprising to find that other code written at the same organization was of similar quality. And given that I subs equently found a bug in the actual CRUTEM3 code only reinforces my opinion. 65

45. The conspiracy claims were fu elled by CRU’s refusal to sh are the most de tailed aspects of its methodologies, for ex ample, the computer codes for producing global temperature averages. We note that the research passed the peer review process of some highly reputable journals. However, we note that CRU could have been more open at that time in providing the detailed met hodological working on its we bsite. We recommend that all publicly funded re search groups consider whether they are being as open as they can be, and ought to be, with the details of their methodologies.

Repeatability and verification

46. These complaints and concerns surroundin g transparency cut to the heart of the scientific process. It has been argued that without access to the raw data and detailed methodology it is not possible to check the resu lts of CRU’s work. The Institute of Physics pointed out that: Published reconstructions may represent only a part of the raw data available and may be sensitive to the choices made and th e statistical techniques used. Different choices, omissions or statistical processe s may lead to different conclusions. This possibility was evidently the reason behind some of the (rejected) reques ts for further information. 66

47. This has substance if one considers CRU’s wo rk in isolation. But s cience is more than individual researchers or research groups. One should put research in context and ask the question: what would one hope to find by double checking th e processing of the raw data? If this were the only dataset in existence, and Professor Jones’s team had been the only team in the world to analyse it , then it might make sense to double check independently the processing of the raw data and the methods. But there are other datasets and other analyses that have been carried out as Professor Jones explained: There are two groups in America that we [CRU] comp are with and there are also two additional groups, one in Russia and one in Japan, that also produce similar records to ourselves and they all show pret ty much the same so rt of course of instrumental temperature ch ange since the nineteenth century compared to today. 67 [...] we are all working inde pendently so we may be using a lot of common data but the way of going from the raw data to a derived product of gr idded tempera tures and

65 Ev 196 66 Ev 167, para 4
67 Q 78The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 17

then the average for the hemisphere and th e globe is totally in dependent between the different groups. 68

48. In its memorandum UEA explai ned the differences between the methodologies used by three basic datasets for land areas of the world, NOAA, NASA and CRU/UEA: All these datasets rely on primary obse rvations recorded by NMSs [National Meteorological Services] across the globe. 69

GISS [70] and NCDC [71] each use at least 7,200 stat ions. CRUTEM3 us es fewer. In CRUTEM3, each monthly temp erature value is expressed as a departur e from the average for the base period 1961–90. This “anomaly method” of expressing temperature records demands an adequate amount of data for the base period; this limitation reduces the number of stations used by C RUTEM3 to 4,348 (from the dataset total of 5,121). The latest NCDC analysis [...] has now moved to the “anomaly method” though with different refinements from those of CRU. 72

NCDC and GISS use differen t approaches to the problem of “absolute temperature” from those of CRUTEM3. Th e homogeneity procedures undertaken by GISS and NCDC are completely different from th ose adopted for CRUT EM3. NCDC has an automated adjustment procedure [...], whil st GISS additionally makes allowances for urbanization effects at some stations. 73

49. In our call for evidenc e we asked for submissions on the question of how independent the other international data se ts are. We have established to the extent that a limited inquiry of this nature can, that the NCDC/NOAA and GISS/NASA data sets measuring temperature changes on land an d at sea have arrived at simi lar conclusions using similar data to that used by CRU, but using inde pendently devised methodologies. We have further identified that there are two other data sets (Univer sity of Alabama and Remote Sensing Systems), using satellite observations that use entirely different data than that used by CRU. These also confirm th e findings of the CRU work. We therefore conclude that there is independent verifica tion, through the use of ot her methodolog ies and other sources of data, of th e results and conclusions of the Climate Research Unit at the University of East Anglia.

50. The fact that all the datasets show broadly the same sort of course of instrumental temperature change since the nineteenth ce ntury compared to tod ay was why Professor John Beddington, the Government Chief Scientific Adviser, ha d the confidence to say that

68 Q 80 69 Ev 21, para 4.3 70 Dataset held by the Goddard Institute for Space Studies (GISS, USA) part of the National Aeronautic and Space Administration (NASA) 71 Global Historical Climatology Network (GHCN) dataset held by National Climatic Data Center (NCDC), the National Oceanographic and At mospheric Administra tion (NOAA, USA)
72 Ev 21, para 4.4 73 Ev 21, para 4.518 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

human induced global warm ing was, in terms of the eviden ce to support t hat hypothesis, “unchallengeable”: 74 I think in terms of datasets, of the way in which data is analyse d, there will always be some degree of uncertainty but when you get a series of fundamentally different analyses on the basic data and they come up with similar conclusions, you get a [...] great deal of certaint y coming out of it. 75

51. Even if the data that CRU used were no t publicly available—which they mostly are—or the methods not publis hed—which they have been—i ts published results would still be credible: the results from CRU agree with those drawn from other international data sets; in other words, the analyses have been repeated and th e conclusions have been verified.

52. That is probably part of w hy it has not been practice in the climate scie nce community to publish all the data and computer codes with the academic papers. We got to the crux of the issue during an interesting exchange with Pr ofessor Jones: Graham Stringer: You are saying that every pa per that you have produced, the computer programmes, the we ather stations, all the info rmation, the codes, have been available to scientists so that they could test out how good your work was. Is that the case on all the papers you have produced? Professor Jones: That is not the case. Graham Stringer: Why is it not? Professor Jones: Because it has not been standard practice to do that. Graham Stringer: That takes me back to the original point, that if it is not standard practice how can the science progress? Professor Jones: Maybe it should be stan dard practice but it is not standard practice across the subject. 76

53. Another reason why data an d the codes were not publis hed may be that norms for publication evolved in a period when the journals were only published in hard copy. In such circumstances it is un derstandable why an editor would not want to publish raw climate data (extremely long li sts of numbers) and code for the computer pr ogrammes that analyse the data (which run to hundreds of thousands of lines of code). However, in the age of the internet, these kinds of products ca n be made available mo re easily, and we are minded to agree with Professor Jones observation on this point that: “Maybe it should be standard practice”. 77

74 Q 191 75 Qq 191–92 76 Qq 100–02
77 Q 102The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 19

54. It is not standard practice in climate science and many other fields to publish the raw data and the computer code in academic papers. We think that this is problematic because climate science is a matter of glob al importance and of public interest, and therefore the quality and transparency of the science should be irreproachable. We therefore consider that climate scientists should take steps to make available all the data used to generate their published work, including raw data ; and it should also be made clear and referenced where data has been us ed but, because of comm ercial or national security reasons is not available. Scientists are also, under Freedom of Information laws and under the rules of normal scientific cond uct, entitled to with hold data which is due to be published under the peer-review process. 78 In addition, scientis ts should take steps to make available in full their methodological workings , including the computer codes. Data and methodological workings should be provided via the in ternet. There should be enough information publis hed to allow verification.

Dishonesty

55. Of all the e-mails released, on e dated 16 Nove mber 1999 has caused particular concern:

I’ve just completed Mi ke’s Nature trick of adding in the real temps to each series for the last 20 years (ie from 1981 onwards) amd [ sic ] from 1961 for Ke ith’s to hide the decline. 79

56. The word “trick” and the ph rase “hide the declin e” have been taken by some to demonstrate intent on the part of Professor Jones to “falsi fy data” and to “exaggerate warming”. 80

“Trick”

57. In his submission, Peter Taylor, author of Chill
, 81 states that: The tree ring data did not match the model expectation (ie the ‘ho ckey stick’ pattern of a sudden rise at the end of the period). Rather than admit this, the team-workers discuss using Michael Mann’s ‘trick’ of replacing th e offending tree-ring data and using instrumental data in its place in a spliced graph. 82

58. UEA interpreted the use of th e word “trick” differently:
as for the (now notorious) wo rd ‘trick’, so deeply appealing to the media, this has been richly misinterpreted an d quoted out of context. It was used in an informal email, discussing the di fficulties of statistica l presentation. It does not mean a ‘ruse’ or method of deception. In co ntext it is obvious that it is used in the informal sense

78 See paragraph 78 and following; section 22 of the FOIA provides an exemption from disclosure where the requested information is intended for future (but imminent) publication. 79 E-mail from Phil Jones to Ray Bradley, 16 November 1999 80 Ev 93 [Godfrey Bloom MEP], para 4 81 Peter Taylor, Chill, A Reassessment of Global Warming Theory: Does Climate Change Mean the World is Cooling, and If So What Should We Do About It? , Clairview Books, 2009
82 Ev 188, para 2220 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

of ‘the best way of doing so mething’. In this case it was ‘the trick or knack’ of constructing a statisti cal illustration which would comb ine the most re liable proxy and instrumental evidence of temperature trends. 83

59. These interpretations of the colloquial meaning of “trick” have been accepted by even the staunchest of critics: Lord Lawson of Blaby: The sinister thing is not the word ‘trick’. In their [UEA’s] own evidence they say that what they me an by ‘trick’ is th e best way of doing something.

Chairman: You accept that? Lord Lawson of Blaby: I accept that. 84

60. Critics of CRU have suggested that Profess or Jones’s use of the word “trick” is evidence that he was part of a conspiracy to hide evidence that did not fit his view that recent global warming is pr edominately caused by huma n activity. Th e balance of evidence patently fails to support this view. It appears to be a colloquialism for a “neat” method of handling data.

“Hide the decline”

61. Lord Lawson did, however, de scribe CRU’s tr eatment of the data as “reprehensible”, 85 because, in his view, Professor Jones deliberately h id data that demonstrated a decline in temperatures. 86

62. The data that he believed to be “hidden” are a set of tree ri ng data that disagree with other data sources regarding te mperature trends. Lord Lawson said: “when the proxy series [...] departed from the measured temperature series, a normal pers on will say maybe that means the proxy series is not all that reliable”. 87 In that context he made two specific claims:

• that the tree ring data were fl awed because “for a long period before 1421 they relied on one single pine tree”; 88 and

• that the divergence problem was not just for data after the 1960s, “it is not a good fit in the latter half of the ni neteenth century either”. 89

63. It is outside the remit of th e terms of reference of this inquiry to make a detailed assessment of the science, but it is worth noting that Professor Jones had a very different perspective. On the first point, he commented:

83 Ev 19, para 3.5.6 84 Qq 25–26
85 Q 26 86 Qq 26–28
87 Q 26

88 As above
89 Q 28The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 21

That particular reconstructio n went back to 1400, or ju st after 1400, and that is because there are insufficient trees to go back before that , there are more than just one. We have criteria to determine how far you can go back in terms of the number of trees you have at a ce rtain number of sites. 90

64. On the second point, he told us:

One of the curves was based on tree ring data which showed a very good relationship between the tree rings and the temperature fr om the latter part of the nineteenth century through to 1960, an d after that there was a dive rgence where the trees did not go up as much as the real temperatures had. 91

65. Professor Jones has pu blished on this issu e on several occasion s, including a 1998 Nature paper 92 and subsequent papers. 93 He contested the view that he was trying to hide the decline in the sense that he was trying to pretend that these data did not exist and thereby exaggerate global warm ing: “We do not accept it was hidden because it was discussed in a paper [94] the year before and we have discussed it in every paper we have written on tree rings and climate”. 95 Rather, what was meant by “hide the decline” was remove the effects of data kn own to be problematic in the sense that the data were known to be misleading. UEA made it clear in its written submission that: CRU never sought to disguise th is specific type of tree-ri ng “decline or divergence”. On the contrary, CRU has publi shed a number of pioneeri ng articles th at illustrate, suggest reasons for, and di scuss the implicatio ns of this intere sting phen omenon. 96

66. Critics of CRU have suggested that Profe ssor Jones’s use of the words “hide the decline” is evidence that he was part of a conspiracy to hide evidence that did not fit his view that recent global warming is predom inantly caused by human activity. That he has published papers—including a paper in Nature —dealing with t his aspect of the science clearly refutes this allegation. In ou r view, it was shorthand for the practice of discarding data known to be erroneous. We expect that this is a ma tter the Scientific Appraisal Panel will address.

Perverting the peer review process

67. The main allegations on the suppression or distortion of others’ findings concern the role of CRU in the operat ion of the peer review pr ocess. It has been alle ged that scientists at CRU abused the peer review pr ocess to prevent those with dissenting views on climate change the opportunity in getti ng papers published. There are three key accusations. First,

90 Q 125
91 Q 122 92 Q 122; Keith Briffa and others, “Reduced sensitivity of recent tree-growth to temperature at high northern latitudes”, Nature , vol 391 (1998), pp 678-82 93 For example: Edward Cook, Paul Krusic and Phil Jones, “Dendroclimatic signals in long tree-ring chronologies from the Himalayas of Nepal”, International Journal of Climatology , Vol 23 (2003), pp 707-32 94 Keith Briffa and others, “Trees tell of past climates: but are they speaking less clearly today?”, Philosophical Transactions of the Royal Society of London Series B-Biological Sciences , vol 353 (1998), pp 65-73
95 Q 124 96 Ev 19, para 3.5.522 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

David Holland, an auth or of several FOIA re quests that were ment ioned in the leaked emails, claimed that climate scientists at CRU corr upted the IPCC process: The emails show that a group of influential climate scientists co lluded to subvert the peer-review process of the IPCC and scienc e journals, and thereby delay or prevent the publication and assessment of research by scientis ts who disagreed with the group’s conclusions about global warming. They manu factured pre-determined conclusions through the corru ption of the IPCC process and deleted procedural and other information hoping to avoid its disclosure under freedom-of-information requests. 97

68. In one e-mail, Professor Jones appeared to su ggest that he and an other scientist would deliberately try to “keep out” two papers from the IPCC’s Fourth Assessment Report. 98

69. The second is that climate scientists tried to suppress a paper on research fraud. As Dr Benny Peiser, Director of the Global Warming Policy Fo undation, put it:

The CRU e-mails under invest igation suggest that climate scientists (not only at CRU but also elsewhere) have actively soug ht to prevent a paper on alleged research fraud from being published in violation of principles of academic integrity. 99

70. The third allegation is made by Dr Sonj a Boehmer-Christiansen, a former peer reviewer for the IPCC, editor of the journal, Energy & Environment , and Reader Emeritus

97 Ev 115, para 2 98 www.eastangliaemails.com
99 Ev 164, para 2

From: Phil Jone s <p.jones@xxxxxxxxx.xxx> To: "Michael E. Mann" <mann@xxxxxxxxx.xxx> Subject: HIGHLY CONFIDENTIAL Date: Thu Jul 8 16:30:16 2004 Mike, Only have it in the pdf form. FYI ONLY - don’t pass on. Relevant paras are the last
2 in section 4 on p13. As I said it is worded carefully due to Adrian knowing Eugenia for years. He knows the’re wrong, but he succumbed to her almost pleading with him to tone it down as it might affect her proposals in the future ! I didn’t say any of this, so be careful how you use it - if at all. Keep quiet also that you have the pdf. The attachment is a very good paper - I’ve been pushing Adrian over the last weeks to get it submitted to JGR or J. Climate. The main re sults are great for CRU and also for ERA-40. The basic message is clear - you have to put enough surface and sonde obs into a model to produce Reanalyses. The jumps when the da ta input change stand out so clearly. NCEP does many odd things also around sea ice and over snow and ice. The other paper by MM is just garbage - as you knew. De Freitas again. Pielke is also losing all credibility as well by replying to the mad Finn as well - frequently as I see it. I can’t s ee either of these papers being in the next IPCCreport. Kevin and I will keep Them out somehow - even if we have to redefine what the peerreview literature is !The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 23

at Hull University, who stated in her memora ndum that her journal became the focus of attacks from CRU scientists: As editor of a journal wh ich remained open to scie ntists who challenged the orthodoxy, I became the target of a numb er of CRU manoeuvres. The hacked emails revealed attempts to ma nipulate peer review to E&E’s disadvantage, and showed that libel threats were considered against its editorial team. Dr Jo nes even tried to put pressure on my university department. The emailers expressed anger over my publication of severa l papers that questioned the ‘hockey stick’ graph and the reliability of CRU te mperature data. The de sire to control the pe er review process in their favour is expressed se veral times. [... ] CRU clearly disli ked my journal and believed that “good” climate scientists do not read it. 100

71. When we asked Professor Jones about these accusations, he con tested each of them.

• On the claim that he tried to keep two papers out of the IPCC report, he explained that the papers were alread y published and that “I was just commenting that I did not think those papers were very good”. 101

• On the claim by he tried to su ppress papers that alleged research fraud, he told us: Dr Benny Peiser [...] was editing a series of papers in Energy & Environment . He asked me to comment on a pa rticular paper and I sent hi m some views back that I did not think the paper was very good. It was not a formal review, he wa s just asking me for my views. 102

• On the claims made by Dr Bo ehmer-Christiansen, he noted: “I was sending an email to the head of department ab out a complaint that she had made about me to the UK Climate Impacts Programme, so I was just responding there”. 103

72. In summary, Profe ssor Jones argued: I do not think there is anything in those emai ls that really supports any view that I or CRU have been trying to pervert the peer re view process in any w ay. I have just been giving my views on specific papers. 104

73. The evidence that we have s een does not suggest that Pro fessor Jones was trying to subvert the peer review proce ss. Academics shou ld not be critic ised for making informal comments on acad emic papers. The Independen t Climate Ch ange Email Review should look in detail at al l of these claims.

100 Ev 125, paras 4.1–4.3
101 Q 154
102 Q 157

103 As above
104 Q 15924 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia



# 3 Freedom of information issues

74. We are not a tribunal reviewi ng whether breaches of the Freedom of Information Act 2000 (FOIA) have taken place but see as our role in this inqu iry as considering whether:
(a) the arrangements for examining whet her CRU breached FOIA are adequate;
(b) whether the six-month time limit on th e initiation of a prosecution where a public authority acts so as to prevent in tentionally the disclo sure of requested information needs to be revised; and
(c) whether UEA ensured that CRU was ab le to meet the re quirements of the legislation when it re ceived FOIA requests.



### Freedom of Inform ation legislation

75. The FOIA creating new rights of access to information came into operation on 1 January 2005. CRU, as part of UEA, is classed as a “public authority” for the purposes of the FOIA. In his submission Richard Thomas, who was In formation Commissioner from 2002 until June 2009, ex plained the applicati on of the FOIA to scient ific data held by UK universities: the public must be satisfied that publicly-funded universit ies, as with any other public authority in re ceipt of public fundin g, are properly acco untable, adopt systems of good governance and can inspire public trust and confidence in their work and operations [...] The fact that the FOIA reques ts relate to complex scientific data does not detract from this proposit ion or excuse non-compliance. 105

76. When he gave oral evidence, we asked Mr Thomas if the le gislation drew a distinction between, on the one hand, scientific da ta and modelling an d, on the other hand, administrative reco rds. He replied:
the broad answer [...] is no [...] First of all, the legi slation applies to information held by the public authority, and info rmation is not elaborated in that sense. [...] It is not ownership. The legislation uses the wo rd “held”, and in the Environmental Information Regulations [EIR] th at phrase “held” is slightly elaborat ed. If I can quote the regulation for you there, “It is held by a public authority if th e information: (a) is in the authority’s possession and has been produced or re ceived by the authority, or (b) is held by another person on behalf of the authority.” So that is an elaboration of the concept of “held”. It is not ownership. 106

77. Mr Thomas considered that the issues in this case which were most relevant to the information law appeared to be: (a) the relevance and impact of the information laws on scientific and academic research conducted within universities;

105 Ev 8, para 3.2 106 Qq 59–60The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 25

(b) the adequacy of section 77 of FOIA to deal with su ggestions that CRU researchers deleted inform ation, not in the course of normal work, but to frustrate FOIA/EIR 107 requests; (c) the handling of a large number of FOIA/EIR requests by UEA relating especially to climate change research which (within CRU) it “held”; and
(d) whether this case illus trates that there is scope to extend the “proactive” disclosure provisions of FOIA as they relate to universities. 108

78. Parliament has created a presumption in favour of disclosure but there are exclusions. 109 Mr Thomas explained: There are over 20 exemptio ns to the fundamental duty to disclose requested information in FOIA.[...] Eig ht of the main exemptions are absolute and 16 are qualified. Qualified means th at there is a “public intere st override,” which means that, even where the exemption applies, th e public interest cons iderations must be considered. In formal term s, there must still be di sclosure—even though the qualified exemption applies—u nless the public interest in the exemption outweighs the public interest in disclosure.

Mr Thomas added that: The exemptions are similar to those found in other Freedom of Information laws in force in the world. I am not aware wh ich exemptions were considered by the University as potentia lly applicable to some or all of the requests to CRU. I can speculate that some or al l of the following [...] m ight have been considered: (a) Section 22—where the requested info rmation is intended for future (but imminent) publication; (b) Section 40—where disclosure of person al data would breach any of the data protection principles;
(c) Section 41—where the information had been obtained from elsewhere in such circumstances that its disclosure would constitute an actionable breach of confidence unde r common law; (d) Section 43 (qualified)—where disclo sure would, or would be likely to, prejudice the commercial interests of any person, including the public authority;
(e) Section 44—where disclosure is prohibited by another enactment or inconsistent with an EU obligation (which may in clude some intellectual property restrictions); and

107 EIR: Environmental Information Regulations 2004. Deriving from European Directive 2003/4/EC these give rights of public access to environmental inform ation held by public authorities.
108 Ev 8, para 2.2 109 Ev 9, para 3.626 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

(f) Section 14 (not an exemption, strict ly speaking)—where the request is vexatious. 110

79. We were grateful to Mr Thomas for explaini ng the operation of the FOIA and EIR. He did, however, point out that he did not have detailed knowledge of even ts at UEA since leaving the Information Commissioner’s Office:

I have no idea at all what has happened inside my former o ffice. I cannot say because this is a serious matter. It depends a great deal on the ci rcumstances of the particular case, the evidence. I have had no direct contact with the office as to how this case is being handled. 111


### Alleged breaches of the Freed om of Information Act 2000

The e-mails

80. Some of the hacked e-mails ap pear to reveal scientists en couraging their colleagues to resist disclosure and to delete e-mails, apparently to prevent them from being revealed to people making FOIA requests. Below are examples, in chronological order, of e-mails sent by Professor Jones which address FO IA and requests for information.

E-mail: 1107454306 [Extract] At 09:41 AM 2/2/2005, Phil Jones wrote: Mike,[...]Just sent loads of station data to Scott. Make sure he documents everything better this time! And don’t leave stuff lying around on ftp sites - you never know who is trawling them. The two MMs have been after the CRU station data for years. If they ever hear there is a Freedom of Information Act now in the UK, I think I’ll delete the file rather than send to anyone. Does your similar act in the US force you to respond to en quiries within 20 days? - our does ! The UK works on precedents, so the first request will test it. We al so have a data protection act, which I will hide behind. Tom Wigley has sent me a worried email when he heard about it - thought people could ask him for his model code. He has retired officially from UEA so he can hide behind that. IPR should be relevant here, but I can see me getting into an argument with so meone at UEA who’ll say we must adhere to it !. [...]

E-mail: 1219239172 [Extract] From: Phil Jones <p.jones@xxxxxxxxx.xxx> To: Gavin Schmidt <gschmidt@xxxxxxxxx.xxx> Subject: Re: Revised version the Wengen paper Date: Wed Aug 20 09:32:52 2008
[...] Keith/Tim still getting FOI re quests as well as MOHC and Reading. All our FOI officers have been in discussions and are now using the same exceptions not to respond - advice they got from the Information Commissioner. As an aside and just between us, it seems that Brian Hoskins has withdrawn himself from the WG1 Lead nominations. It seems he doesn’t want to have to deal with

110 Ev 9, para 3.7
111 Q 58The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 27

this hassle.
The FOI line we’re all using is this. IPCC is exempt from any countries FOI – the Sceptics have been told this. Even though we (MOHC, CRU/UEA) possibly hold relevant info the IPCC is not part our remit (mission statement, aims etc) therefore we don’t have an obligation to pass it on. Cheers Phil

E-mail: 1228330629 From: Phil Jones <p.jones@xxxxxxxxx.xxx> To: santer1@xxxxxxxxx.xxx, Tom Wigley <wigley@xxxxxxxxx.xxx> Subject: Re: Schles suggestion Date: Wed Dec 3 13:57:09 2008 Cc: mann <mann@xxxxxxxxx.xxx>, Gavin Schm idt <gschmidt@xxxxxxxxx.xxx>, Karl Taylor <taylor13@xxxxxxxxx.xxx>, peter gleckler gleckler1@xxxxxxxxx.xxx

Ben, When the FOI requests began here, the FOI person sa id we had to abide by the requests. It took a couple of half hour sessions - one at a screen, to convince them otherwise showing them what CA was all about. Once they became aware of the type s of people we were de aling with, everyone at UEA (in the registry and in the Environmental Sc iences school - the head of school and a few others) became very supportive. I’ve got to know the FOI person quite well and the Chief Librarian - who deals with appeals. The VC is also aware of wh at is going on - at least for one of the requests, but probably doesn’t know the number we’re dealing with. We are in double figures.
One issue is that these requests aren’t that wide ly known within the School. So I don’t know who else at UEA may be getting them. CRU is moving up the ladder of requests at UEA though - we’re way behind computing though. We ’re away of requests going to others in the UK - MOHC, Reading, DEFRA and Imperial Coll ege. So spelling out all the detail to the LLNL management should be the first thing you do. I hope that Da ve is being supportive at PCMDI. The inadvertent email I sent last month has led to a Data Protection Act request sent by a certain Canadian, saying that the email maligned his scientific credibility with his peers!
If he pays 10 pounds (which he hasn’t yet) I am supposed to go through my emails and he can get anything I’ve written about him. About 2 months ago I deleted loads of emails, so have very little - if anything at all. This legislation is different from the FOI - it is supposed to be used to find put why you might have a poor credit rating ! In response to FOI and EIR requests, we’ve put up some data - mainly paleo data. Each request generally leads to more - to explain what we’ve put up. Every time, so far, that hasn’t led to anything being added - in stead just statements saying read what is in the papers and what is on the web site! Tim Osborn sent one such response (via the FOI person) earlier this week. We’ve never sent programs, any codes and manuals.

In the UK, the Research Assessment Exercise results will be out in 2 weeks time. These are expensive to produce and take too much time, so from next year we’ll be moving onto a metric based system. The metrics will be # and amounts of grants, papers and citations etc. I did flippantly suggest that the # of FOI requests you get should be another.
When you look at CA, they only look papers from a handful of people. They will start on another coming out in The Holocene early next year. Gavin and Mike are on this with loads of others. I’ve told both exactly what will appear on CA once they get access to it! Cheers28 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

Phil

E-mail: 1237496573 [Extract] From: Phil Jones <p.jones@xxxxxxxxx.xxx> To: santer1@xxxxxxxxx.xxx Subject: Re: See the link below Date: Thu Mar 19 17:02:53 2009
[...] CRU has had numerous FOI requests since the beginning of 2007. Th e Met Office, Reading, NCDC and GISS have had as well – many related to IPCC involvement. I know the world changes and the way we do things changes, but these requ ests and the sorts of simple mistakes, should not have an influence on the way things have been adequately dealt with for over a century. Cheers Phil

81. In his submission Andrew Montford stated that:

Research materials should be made available to outsiders as a requirement of the scientific method. That scientis ts have failed to do so is reprehensible, but the fact that they have apparently also resorted to breaches of the Freedom of Information Act in order to do so requires urgent atte ntion from policymakers. 112

82. As we explained in the previous chapter, David Holland was the au thor of several FOIA requests that were mentioned in the leaked e- mails. In his submission he pointed out that on 9 May [2008] in e-mail 1210367056, Prof essor Jones sent “my formal information request to ‘team’ members Mann , Hughes and Ammann” writing: You can delete this attachment if you want. Keep this quiet also, but this is the person who is putting in FOI requests for all emails Keith and Tim have written and received re Ch 6 of AR4. 113 We think we’ve foun d a way around this. 114

83. Mr Holland also drew attention to e-ma il 1212063122 dated 29 May 2008 in which Professor Jones aske d Professor Mann: Can you delete any emails you may have had with Keith re AR4? Keith will do likewise. Can you also email [Eu]Gene [Wahl ] and get him to do the same? I don’t have his new email address. We will be getting Caspar [Ammann] to do likewise. 115

Correspondence with the Deputy Information Commissioner

84. On 22 January 2010 , when the Deputy Information Commissio ner, Graham Smith, issued a statement which sugges ted that at l east some of the requested in formation should

112 Ev 159, para 6 113 Intergovernmental Panel on Climate Change: Fourth Assessment Report
114 Ev 117, para 23 115 Ev 118, para 32The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 29

have been disclosed in the absence of applicable exemptions, it ga ve support to the criticisms of CRU’s handling of FOIA requests. Mr Smith said:

The FOI Act makes it an of fence for public auth orities to act so as to prevent intentionally the disclosure of requested information. Mr Holla nd’s FOI requests were submitted in 2007/8, but it has only recently come to ligh t that they were not dealt with in accordance with the Act. Th e legislation requires action within six months of the offenc e taking place, so by the time the action c ame to light the opportunity to consider a prosecution was long gone. 116

85. Mr Thomas commented that this was “clearl y a reference to section 77 of the Act and/or the near-identical Regulation 19 of EIR”. 117 Section 77 of the FOIA provides:

1. Where: (a) a request for information has be en made to a pu blic authority, (b) under section 1 of this Act or sectio n 7 of the Data Prote ction Act 1998, the applicant would have been en titled (subject to pa yment of any fee) to communication of any information in accordance with that section, any person to whom this subsec tion applies is guilty of an of fence if he alters, defaces, blocks, erases, destroys or conceals any re cord held by the public authority, with the intention of preventing the dis closure by that au thority of all, or any part, of the information to the communicati on of which the applicant would have been entitled. 2. Subsection (1) applies to the public author ity and to any person who is employed by, is an officer of, or is subject to the direction of, the public authority. 3. A person guilty of an offence under this section is liable on summary conviction to a fine not exceeding level 5 on the standard scale. 118

86. Mr Thomas added that the Deputy Commiss ioner also appeared “to have in mind” section 127(1) of the Magistrates Co urt Act 1980, which provides that a magistrates’ court shall not try an info rmation or hear a co mplaint unless the information was laid, or the complaint made, with in 6 months from the time when the offence was commi tted, or the matter of complaint arose. 119

Mr Thomas confirmed in oral evidence that because of the interaction with the Magist rates Court Act, any prosecution must be brought within six months of the offence being committed. 120

87. In its memorandum to our inquir y, UEA defended its actions:

116 Ev 9, para 4.1

117 Ev 10 118 Ev 10, para 4.1 119 Ev 10, para 4.2
120 Q 5630 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

CRU has been accused of re fusing to release data reques ted under the FOIA. There are many obstacles outside CRU’s control surrounding th e release of data provided by NMSs [National Meteoro logical Services]. Many FO IA requests made to CRU related to primary data provided by the NM Ss. Some of these da ta are subject to formal non-publication agreem ents between the NMS and CRU. Ot her primary data had been provided to CRU on an individual-to-in dividual basis, wi th accompanying verbal agreements that they may be used within the gridded dataset, but should not be passed on to others. CRU responded to the FOIA requests for primary data by pointing out that approximately 90% of the stations in the CRU dataset are available from other sources, particularly GHCN. 121

88. On 29 January there was an exchange between UEA and Mr Smith, the Deputy Commissioner. Brian Summers, th e Registrar and Secr etary of UEA responded forcibly to Mr Smith’s 22 January press stat ement, which asserted that UEA had not dealt with FOIA requests “as they should have been under the legislation”. 122 He did not co nsider it was “acceptable that such a statem ent which has led to an extrem ely damaging co mmentary on the University [was] first communicated to the Univer sity by a journalist”. 123 His letter goes on to defend UEA’s actions in detail and to ask that, if the Information Commissioner’s Office (ICO) cannot retract the 22 January stat ement, it issue a clarification regarding the alleged breaches of the FOIA. A response from the ICO was issued the same day. It did not retract the original statemen t but offered clarification:

1. [No] decision notice has yet been issued and no alleged brea ches have yet been put to the University for comment. That matter has yet to be addressed, but it will be over coming months.

2. The fact that the elements of a section 77 offence may have been found here, but cannot be acted on because of the elapsed time, is a ve ry serious matter. The ICO is not resiling from its position on this.

3. The ICO’s position is as st ated in point 2 above. Th e statement may be read to indicate that. 124 Under section 77, an offence may be committed by an individual, not necessarily the pu blic authorit y itself.

4. Errors like this are frequen tly made in press report s and the ICO cannot be expected to correct them, particularly wh en the ICO has not itself referred to penalties or sanctions in its own statement. 125

121 Ev 20, para 3.7.2
122 “Scientists in stolen e-mail scandal hid climate data”, The Times , 28 January 2010 123 Registrar and Secretary to Deput y Information Commissioner - 29 January 2010, UEA website, Correspondence between University of East Anglia and the Information Commissioner’s Office, www.uea.ac.uk/mac/comm/media/press/ CRUstatements/ICOcorrespondence 124 UEA had asked the Deputy Commissioner to confirm that “your state ment cannot be taken to mean that there has been a demonstrable breach of Section 77, which is a breach of the FOI which can result in prosecution”; Registrar and Secretary to Deputy Information Commissioner, 29 January 2010, UEA website, Correspondence between University of East Anglia and th e Information Commissioner’s Office, www.uea.ac.uk/mac/comm/media/pres s/CRUstatements/ICOcorrespondence 125 Deputy Information Commissioner to Registrar and Secretary - 29 Januar y 2010, UEA website, Correspondence between University of East Anglia and the Information Commissioner’s Office, www.uea.ac.uk/mac/comm/media/pres s/CRUstatements/ICOcorrespondenceThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 31

89. UEA responded on 1 February thanking the IC O for the clarificatio n but setting out its concerns relating to the press covera ge of the ICO’s original statement:

Your clarification that the press cannot infer from your statement to the Sunday Times that it has been es tablished that the University (or in deed any individual associated with the University) has br eached the terms of the Freedom of Information Act is welcome. [UEA’s] reputa tion which has been subjected to these damaging and incorrect assertions claiming to be based on your statement and we must take some steps to put this right. We will be writing to the media which carried reports based on your statement, pointing out the inaccuracies and asking them to rectify the position. 126

90. In his oral evidence Professor Acton questi oned the ICO statement of 22 January: our principle is that prima facie evidence is evidence whic h on the face of it and without investigation suggests that there is a case to answer. To my mind if there is prima facie evidence; why did I set up the Muir Russell independent review? Prima facie evidence is not the same as, you have been found to breach. [...] If it is sub judice, if, as we had in the lett er ten days ago from the IC O, the investigation has not even begun, I am puzzled how we could have been found to breach if there has been no investigation. 127

91. The ICO’s most recent letter, dated 3 March, in UEA’s view, “makes plain that there is no assumption by the ICO, prior to investigati on, that UEA has breached the Act; and that no investigation has yet been completed.” 128 The ICO’s letter confirmed that the “ICO is not pursuing any investig ation under section 77 of the Act. That matter is closed as far as the ICO is concerned, given the statutory time limits for action”. It added that: The ICO acknowledges your concern about the statement made and the subsequent media and blog reports. G iven that the Deputy Commi ssioner has already been publicly associated with the matte r, any Decision Notice w ill be reviewed and signed off by another authorised signatory. 129 We regret that the ICO made a statement to the press that went be yond that which it could substantiate and that it took over a month for the ICO properly to put the record straight. We recommend that the ICO develop procedures to ensure that its public comments are checked and that mechanisms exist to swiftly correct any mis-statements or misinterpretations of such statements.

92. The disclosed e-mails appear to show a culture of non-disclosure at CRU and instances where information (disclosable or otherwise) may have been deleted, to avoid disclosure. The Deputy Information Commissioner’s lett er of 29 January gives a clear indicati on that a

126 Registrar and Secretary to Deputy Information Commissioner - 1 February 2010, UEA website, Correspondence between University of East Anglia and the Information Commissioner’s Office, www.uea.ac.uk/mac/comm/media/pres s/CRUstatements/ICOcorrespondence
127 Q130 128 Ev 39, para A
129 Ev 39, annex32 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

breach of the FOIA may have occurred but that a prosecution was time-barred. 130 As, however, UEA pointed ou t, no investigation ha s been carried out.

93. It seems to us that both sides have a point. There is prima facie evidence that CRU has breached the Freedom of Inform ation Act 2000. It would, however, be premature, without a thorough investig ation affording each party the opportunity to make representations, to conclude that UEA was in breach of the Act. In our view, it isunsatisfactory to leave the matter unresolved simply because of the operation of the sixmonth time limit on the init iation of prosecutions. Much of the reputation of CRU hangs on the issue. We conclude that the matter needs to be resolved conclusively— either by the Independent Climate Change Email Review or by the Information Commissioner.

94. On the question of the six-mo nth time limit on the initiation of prosecutions, Mr Thomas pressed for a revision of the law. He pointed out that apart from in the most blatant cases “it will usua lly be impossible for the ICO to detect an of fence within 6 months of its occurrence” and thus to be able to initiate a prosecution. 131 He drew attention to a recent debate in the House of Lords on a proposal to amend the time limit. In reply, in the debate the Parliamentary Under-Secretary of State at the Mi nistry of Justice said that:

The Freedom of Inform ation Act 2000 came in to force only in 2005 , and [...] we have no evidence at present that the current six-month time limit presents a systemic problem for the Information Commissioner or any other prosecutor in taking action under Section 77. [...] We w ill listen to the vi ews of the Informat ion Commissioner and other interested pa rties on this point, and if there is evide nce that the current legislation is causing systemic difficulties, we will look for ways to addr ess the matter, if necessary by means of an alternative legislative veh icle in the future. However, I cannot go further than that to day on behalf of the Government. 132 No change was made to the legislation.

95. We consider that events at CRU throw lig ht on the operation of the Freedom of Information Act 2000 and, in pa rticular, whether there is a ne ed to amend the time limit on prosecutions from six months from th e time the alleged of fence was committed. If the Minister was correct to assert in July 2009 that the Government had no evidence that the current six-month ti me limit presents a systemic prob lem, then it is now clear that such evidence exi sts. Irrespective of whether or not CRU breached the Freedom of Information Act 2000, we re commend that the Government review the operation of section 77 of the 2000 Act and the six month limit on the initiati on of prosecutions provided by section 127(1) of the Magistrates Court Act 1980.

130 UEA website, Correspondence between University of East Ang lia and the Informatio n Commissioner’s Office, www.uea.ac.uk/mac/comm/media/pres s/CRUstatements/ICOcorrespondence
131 Ev 10, para 4.3 132 HL Deb, 21 July 2009, col 1571The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 33

Volume of requests

96. In the face of allegations of poor handling of FOIA requ ests, one of the explanations offered by UEA was that in: July 2009 UEA received an unpreced ented, and frankly administratively overwhelming, deluge of FOIA requests related to CRU. These amounted to 61 requests out of a 2009 total of 107 related to CRU, compare d to annual totals of 2 in 2008 and 4 in 2007 (University totals for those ye ars were 204, 72 and 44 respectively). 133

97. At the oral evidence se ssion Lord Lawson commented on the increase in the volume of FOIA requests: what had happened was ther e had been a very, very small number of FOI Act requests to begin with and it was in response to those th at there was all the evasion, the lack of disclosure and all the other th ings which we have seen in the emails: discussions about possibly dest roying evidenc e and so on. All that came well before the 2009 flood of stuff. The 20 09 flood, if you look at th e sequence of events, was a response to the refusal to give disclosure of various thin gs before. That was what came first. 134

98. There are two issues here: the adequacy of CRU’s handling of the FOIA requests and whether the increase in the numb er of requests in July 2009 was a deluge. On the latter, Mr Thomas said that, whilst agreeing that UEA had faced a significant rise in FOIA requests in July 2009, he did not consider that a total of 61 was a “huge number”. 135

99. On handling, CRU claimed that it could not cope with the significant rise in FOIA requests because it only had three full-time academic staff. 136 We therefore wrote to UEA on 2 March 2010 to ask what ex tra resources were provided to assist CRU cope with these requests. UEA responded that: additional support was provide d to the Univer sity’s Information Policy Compliance Manager (IPCM) who handles FOI requests. This included resc heduling workloads to allow him to concentrate on the CRU FOI requests and diverting secretarial support to provide additional resource. Given the high vo lume of requests received, the Director of Information Ser vices (DoIS) also took an ac tive role in the first stage of a number of requests, th us providing additional supp ort to the IPCM. (Should any cases where the DoIS was directl y involved in the fi rst stage be appealed then we have arranged for the PVC Academic to adjudicate to ensure impartiality). ISD also fasttracked the merging of the Security Policy and Complia nce team to ensure that a fully trained back-up to the IPCM was available. 137

133 Ev 20, para 3.7.4
134 Q 9
135 Q 68 136 Q 92 [Professor Acton], Ev 20, para 3.7.4; Ev 37, Q 1
137 Ev 37, para 134 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

100. The Science Facul ty also provided additio nal administrative suppo rt, including that of the Director of Faculty Administration, th e most senior member of the Faculty’s administrative staff. UEA pointed out that many of the requests were of a very technical nature and: required scientific knowledge and understanding of the subject area in order to provide the details. Despite the addition al administrative resources provided, the requirement to respond to the 61 requests received in July 2009 impacted considerably upon the work of CRU. 138

101. We also asked UEA to outline what legal advice and guidance on handling had been offered to CRU in handling these FOIA requests. UEA confirmed that the: IPCM provided advice to CRU on the requirem ents of the Act both generally, and in relation to any app licable sections, exemptions or exceptions pertaining to the specific request. In this latte r role, the IPCM set out the requirements of any possible exemption or exception, incl usive of the public in terest test, and elicited from CRU staff whether the public interest test had been met. Additio nal advanced training was provided to the ‘FOI Contact’ for the Faculty of Science, the Dire ctor of Faculty Administration. In this role, the FOI co ntact acted as a support to CRU in the location and retrieval of information and provided as sistance to th e IPCM in exploring the application of the Act to the specific requests. 139

102. On the evidence we took we have concerns about the handling of FOIA requests by CRU. First, the disclosed e-mai ls betray an attitude to fr eedom of infor mation that was antipathetic to the spirit of disclosure in the legislation. Mr Thomas pointed out that: the simplest approach, particularly where requ ests tend to generate either a defensive attitude or place a great burd en on the public authority, is proactive disclosure in the first place.[...] Public authorit ies ought to decide what really has to be kept away from the public. If it is partic ularly sensitive or there is a good reason for withholding it, fair enough, but where there is no good reason for withholding information, then why not proactively disclose it and avoid the hassle of large numbers of requests? 140

103. Whether or not CRU liked it, those making FOIA requests were entitled to have their requests dealt with in accordance with the legi slation and, if the info rmation sought did not fall within one of the exclus ions provided by the FOIA, it should have been disclosed. We have already recommended in paragraph 54 above that in future information, including data and methodology, should be published proactively on the internet wherever possible. Howeve r, a culture of withholding information—from those perceived by CRU to be host ile to global warming—appears to have pervaded CRU’s approach to FOIA requests from the outset. We consider this to be unacceptable.

104. In the face of such an un helpful approach we are not su rprised that FOIA requests multiplied. When the surge in FOIA requests hit CRU in July 2009 UEA provided extra

138 Ev 37, para 1 139 Ev 37, para 2
140 Q 70The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 35

resources but because of their technical nature the same small group of staff at CRU had a pivotal role in handling th e requests. We are not clea r that the cu lture changed. We cannot reach a firm conclusion on the basis of the evidence we took but we must put on record our concern about the manner in which UEA allowed CRU to handle FOIA requests. Further, we found prima facie evidence to suggest that th e UEA found ways to support the culture at CRU of resisting disclosure of information to climate change sceptics. The failure of UEA to grasp fully the pote ntial damage to CRU and UEA by the nondisclosure of FOIA requests was regrettabl e. UEA needs to review its policy towards FOIA and re-assess how it can support academics whose e xpertise in this area is limited.36 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia



# 4 Independent inquiries

105. There are two reviews underway: the Indepe ndent Climate Change Email Review led by Sir Muir Russell; and a scie ntific assessment panel revi ewing CRU’s ke y scientific publications. The Vice-Chan cellor explained to us in oral evidence on 1 March 2010 that the reviews would focus on different matters: Muir Russell’s independent revi ew is not looking at the science, it is looking at allegations about malpractice. As for the science itself, I have not actually seen any evidence of any flaw in the science but I am hoping, later this we ek, to announce the chair of a panel to reassess the science and make sure there is nothing wrong. 141

In the event the announcement was not made un til 22 March.


### The Independent Climate Change Email Review

106. The Independent Climate Chan ge Email Review is being conducted by a team, led by Sir Muir Russell. Accord ing to the Review’s website the te am has more t han 100 years’ collective expertise of scient ific research methodology and a wide range of scientific backgrounds. None have any links to the Climat ic Research Unit, or the United Nations’ Intergovernmental Panel on Climate Change (IPCC). 142

Terms of reference

107. The Review’s terms of refe rence are as follows: The Independent Review will in vestigate the key allegations that arose from a series of hacked e-mails from the University of Ea st Anglia’s Climatic Research Unit (CRU). The re view will: 1.1. Examine the hacked e-mail exchanges, other relevant e-mail exchanges and any other information held at CR U to determine whether ther e is any evidence of the manipulation or su ppression of data which is at od ds with acceptab le scientific practice and may therefore call into que stion any of the research outcomes. 1.2. Review CRU’s poli cies and practices for acquiring, assem bling, subjecting to peer review and di sseminating data and research findings, and their compliance or otherwise with best scientific practice.

1.3. Review CRU’s co mpliance or otherwise with the University’s policies and practices regarding requests under the Fr eedom of Information Act (‘the FOIA’) and the Environmental Information Regulations (‘the EIR’) for the release of data.

141 Q 129 142 www.cce-review.org/About.phpThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 37

1.4. Review and make recommendation s as to the appro priate management, governance and securi ty structures for CRU and the security, integrity and release of the data it holds. 143

108. Sir Muir has discretion to amend or add to the terms of reference if he feels necessary, devise his own methods of working, and call on appropriate expertise, in order to investigate the allegations fully . UEA has asked for the Review to be completed by Spring 2010 and this will be made pub lic along with UEA’s response. 144

109. Lord Lawson, in both his wr itten submission and his oral evidence, considered that the terms of refe rence “may be a bit too CRU-centric” 145 and “needed to be extended to include more fully the issue of the dissenting scientists”. 146 These points were echoed in written submissions to us. Andrew Montford suggested that: The independence of the review is not assured. Sir Muir Russell was appointed to head the review by the vice-chancellor of th e University of East Anglia, [...] Edward Acton. However, the emails disclosed implicate [his] pr edecessor in an apparent breach of the Freedom of Information Act and there is therefore a prime-facie case that the review is not sufficiently independen t. [...] The review must take evidence from sceptics. At time of writing it appe ars that no prominent sceptic has been contacted by Sir Muir with a view to providing evidence. Without complainants being able to make thei r case to the review, it is unli kely that the fi ndings will be sound or accepted by the sceptic community. 147
Mike Haseler, creator of the Nu mber 10 Petition regarding the CRU, was also critical of the Review saying that it “seems to serve no real purpose except the PR of the University to appear to be doing something.” 148

110. Others offered amendments to the terms of refe rence. Professor Ross McKitrick, a professor of environmental economics, recomm ended that the terms of reference “should consider whether CRU scientis ts whose respon sibilities include providi ng climate data to the IPCC should not serve as IPCC Lead Authors (or Coordina ting Lead Authors) on any Report or Chapter that assesse s evidence for or against it s quality for cli matic research purposes.” 149

111. The Royal Society of Chemistry conside red the terms of re ference “adequate” 150 and Professor John Bedding ton suggested that th ey “give sufficient scop e for the issue to be investigated in full”. 151 Professor Peter Cox, a former lead author on the last IPCC Working

143 Ev 39 144 “Sir Muir Russell to head the Independent Review into the allegations against the Climatic Research Unit (CRU)” UEA Press Release, 3 December 2009, www.uea.ac .uk/mac/comm/media/pre ss/2009/dec/ CRUreview 145 Q 5, Ev 1, annex containing lett er dated 26 January 2010 from th e Foundation to Sir Muir Russell ( not printed )
146 Q 3 147 Ev 161, paras 22 and 24
148 Ev 139, para 27 149 Ev 140, para 3.2 150 Ev 172, para 12
151 Ev 45, para 738 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

Group, suggested t hat the “Inquiry should hear evidence on the re viewing of scientific papers and the exclusion of paper s from the IPCC report. It w ill be critical to determine whether these decisions were carried out on the basis of scientific merit alone”. 152

112. In response to criticisms Sir Muir pointed out that the re view “is not ac tually about the big science of global wa rming and making forecasts fo r the next hundred years”. 153 He said that “it will not be window dressing”, and UEA had “not interfered at all”. 154

113. We accept the assurances that Sir Muir Russell has given about the independence of the Independent Climate Ch ange Email Review and we expec t him to be scrupulous in preserving its impartiality. We see no reason why the Review’s conclusions and UEA’s response have to be published togethe r. Indeed, it could give the impression that UEA was being given an advantage when it co mes to responding. We consider that the Review’s conclusions and recommendations should not be conveyed to UEA in advance of publication.

114. With regards to the terms of reference of the Review, we consider that as well as measuring CRU against current acceptable scientific practi ce, the Review should also make recommendations on best practice to be followed by CRU in the futu re. We invite Sir Muir Russell to respond formally to our Report to the extent that he sets out whether, on the basis of its contents, he finds the Terms of Refe rence of his inquiry need to be changed.

The Review team

115. The Review Team membership, as announced, consisted of:
Sir Muir Russell Professor Geo ffrey Boulton Dr Philip Campbell [ subsequently resigned ] Professor Peter Clarke Mr David Eyton Professor Jim Norton. 155

116. Sir Muir and the Review team held a press briefing at the Scie nce Media Centre in London on 11 February 2010 to announce its membership, pu blish its workplan and issue a call for submissions fro m interested parties. Al most immediately it wa s beset by claims of partiality. On the same day as the launch Sir Muir Russell accepted the resignation of Dr Philip Campbell, Editor of Chief of Nature , after a recording of an interview given by Dr Campbell to China Radio Internatio nal in December 2009 was a lleged to raise doubts over his impartiality. Dr Campbell said: I made the remarks in good fa ith on the basis of media repo rts of the leaks. As I have made clear subsequently, I support the need for a full review of the facts behind the

152 Ev 132, para 2
153 Q 163
154 Q 166

155 Ev 40The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 39

leaked e-mails. There must be nothing that calls into question the a bility of the independent Review to complete this task, and therefore I have decided to withdraw from the team. 156

117. Sir Muir said “I have spok en to Philip Campbell, and I understand why he has withdrawn. I regret the loss of his ex pertise, but I respect his decision." 157 Further allegations arose on 12 February that Profe ssor Geoffrey Boulton’s background and views affected his ability to be a member of the Review. 158 These have been reje cted by Sir Muir Russell and by Professor Boulton. Professor Boulton said: At the Review press conferen ce (on February 11), I pointed out that I had worked full-time in the School of Environmental S ciences at UEA from its inception in 1968 to 1980, and that I had a part-time appo intment between 1980 and 1986, whilst working primarily in the University of Amsterdam. Since then, I have had no professional contact with th e University of Ea st Anglia or the Climatic Research Unit. I was equally clea r that although my research is not in the field of modern or recent climate change, I am familiar with its scientif ic basis and uncertainties surrounding it. I decl ared my current view of the balanc e of evidence: that the earth is warming and that human ac tivity is implicate d. These remain the views of the vast majority of scientists who rese arch on climate ch ange in its different aspects. They are based on extensive work worldwide, not that of a single institution. As a sceptical scientist, I am prepared to change those view s if the evidence meri ts it. They certainly do not prevent me from being heavily bia sed against poor s cientific practice, wherever it arises. 159

Sir Muir Russell said:

This Review must determ ine if there is evidence of poor scientific practice, as well as investigate allegations around the manipulati on and suppression of data. As others have pointed out, it would be impossible to find somebody with the qualifications and experience we need who has not formed an opinio n on climate change. I am completely confident that each member of the Review team has the integrity, the expertise, and the experience to complete our work impartially. 160

118. In his oral evidence Sir Muir outlined his approach in choosing the team:

156 “Dr Philip Campbell withdraws from the Review”, Independent Climate Change Email Review News release , 12 February 2010, www.cce-review.org/News.php

157 As above 158 There has been pressure on Pr ofessor Boulton to step down. The Scotsman reported: “Dr Benny Peizer, [ sic ] director of the Global Warming Policy Foundation, a think tank which claims the debate on climate change has become distorted, called for Prof Boulton to step down, too. He said: ‘Prof Boulton obviously is a very distinguished geologist. The problem is, he is a very outspoken cam paigner on this issue and he’s given talks calling for galvanising public opinion. He also worked at the very instit ution that he is now going to be investigating. That, we think, is a conflict of interest.’” ( “Sen ior Scots scientist in climate probe row”, The Scotsman , 13 February 2010) Sir Muir has rejected the call. (“Allegations of bias against Review member rejected”, Independent Climate Change Email Review News release , 15 February 2010) 159 “Allegations of bias against Review member rejected”, Independent Climate Change Email Review News release , 15 February 2010,www.cce-review.org/News.php

160 As above40 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

You can see as you look at th e composition of the team that I needed to be looking at climate science in general bu t not somebody who was asso ciated with this particular stream of work but would un derstand what was going on. There were going to be huge data handling issues, there was a lot of work on computin g and data security and so on and that the wo rk was going to have a resonance out there in the real world and around the wo rld. Really on that basis I came up with this set of names that you can see. In relation to Dr C ampbell, the others that I had got together thought that it would be extremely i mportant to have somebo dy who knew about peer review and that wa s really the qualification that brought him in. 161

119. It is unfortunate that th e Independent Review got off to a bad start with the necessary resignation of Dr Campbell. The qu estion of the operatio n of peer review is going to be a critical issue in the inquiry and the Review Team needs to take steps to ensure the insight and experience he would have brought are replaced.

Transparency

120. Contributors to our inquiry have suggested the importan ce that the Independent Review is open and transparent. Lord Lawson , in his oral evidence , said that he was: concerned about the openne ss and transparen cy, [...] there sh ould be public hearings, like you are having here—I think th at is very, very important—and I regret the fact that it appears that they do not intend to do this. 162

Andrew Montford commented:

The review must be held in public. Sir Muir Russell has stated that he wants to retain the confidence of global warming sceptics. Ho wever, in his letter to Mr Willis of 10 December 2009, [... ] the vice-chancellor of UEA, states that Si r Muir will present his findings to [him], who will in turn present a report to the council of th e university. We are asked to believe that Sir Muir will properly in vestigate [the ViceChancellor’s] role in the alleged FoI breaches, and that [he] will pass on the findings that Sir Muir makes on this subject to the university council. 163

121. When answering our question on transparency Sir Muir indicated that the Review team “plans to put on its website the evidence that we receive”. 164 When pressed on the question of holding pu blic evidence sess ions Sir Muir re sponded that: all my predispositions and those of the fe llow team members are to do it that way [via written evidenc e] rather than to do it in a hearing of perhaps this kind or in a series of one-to-one interviews or whatev er. Where we have interviews with people in CRU or elsewhere, those w ill be written up and they wi ll be part of the record but at the moment I am not really sure that getting to th e stage of putting people in a

161 Q 160
162 Q 3 163 Ev 161, para 23
164 Q 172The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 41

hearing context is going to be a particula rly effective way of adding value to the objective evidence that we want to get our hands on. 165

122. We agree that the Review must be open and transparent. We conclude that, when the Independent Review holds oral he arings or interviews, they should be carried out in public wherever possible and that it should publish all the writte n evidence it receives on its website as soon as possible.


### Scientific Appraisal Panel

123. In its evidence to us the Independent Clim ate Change Email Revie w stated that its remit does not invite it to re-appraise the scie ntific work of CRU. That re-appraisal is being separately commissioned by UEA, with the assistan ce of the Royal Society. 166 In a statement released on 11 February UEA said that: The Royal Society will as sist the Univ ersity in identifying asse ssors with th e requisite expertise, standing and independence. “Published pa pers from CRU have gone through the rigorous and intensive peer review process which is the keystone for maintaining the integrity of scientific research,” said Professor Trevor Davies, the University’s Pro-Vice- Chancellor for Research, Enter prise and Enga gement. “That process and the findings of our researchers have been the subject of significant debate in recent months . Colleagues in CRU have st renuously defended their conduct and the published work and we believe it is in the intere sts of all concerned that there should be an additional assessment cons idering the scie nce itself.” The independent reassessmen t will complement Si r Muir Russell’s Review of the key allegations about the handling of data arisin g from the publication of a series of emails hacked from CRU. Sir Muir’s Review is expected to announce its finding in Spring 2010.

The reassessment of CRU’ s key publications will be completed at the earliest date the assessors can manage. The findings will be made public. 167

124. Details of the panel we re announced on 22 Ma rch. It will be headed by Lord Oxburgh. His appointment was made on the recommendation of the Ro yal Society, which was also consulted on the choice of th e six scientists on the panel: Professor Huw Davies, Professor of Physics at the Institute fo r Atmospheric and Climate Scie nce at ETH Zürich; Professor Kerry Emanuel, Professor of Meteorology at Mass achusetts Institut e of Technology; Professor Lisa Graumlich, Director of the School of Natural Resources and the Environment at The University of Arizona; Professor David Han d, Professor of Statistics in the Department of Mathematics at Imperial College; Professo r Herbert Huppert, Professor of Theoretical Geophysics at the University of Cambridge; and Professor Michael Kelly, Prince Philip Professor of Te chnology at the University of Cambridge. The panel will have

165 Q 176 166 Ev 40, para 4 167 UEA, 11 February 2010, www.uea.ac.uk/mac/comm/media/press/CRUstatements/New+sc ientific+assessment+of+climatic+research+publicatio ns+announced42 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

access to any publications or materials it requests , and all information considered will be listed in the Report. UEA, in consultation wi th the Royal Society, ha s suggested that the panel looks in particular at ke y publications, from the body of CRU’s research referred to in the UEA submission to our inquiry. According to the anno uncement on 22 March, the panel will meet in Norwich in April and will have the opportunity to see original data and speak to those who did the work and it compri ses of scientists who use techniques similar to those used in CRU but who la rgely apply them to ot her areas of research, as well as those with experience in climate or re lated research. 168

125. Announcing the Panel, Prof essor Trevor Davies, UEA’ s Pro-Vice-Chancellor for Research, said that:

Our concern has been to br ing together a distinguished group of independent scientists who understand the difference between asse rtion and evide nce, and are familiar with using the latt er to judge the validity of co nclusions arising from science research. The panel members have the right mix of skills to understand the complex nature of climate research and the discip line-based expertise to scrutinise CRU’s research. How they do this will be entirely down to the panel.

The choice of scientists is sure to be th e subject of discussion, and experience would suggest that it is impossible to find a group of eminent scientists to look at this issue who are acceptable to every interest group which has expressed a view in the last few months. Similarly it is un likely that a group of pe ople who have the necessary experience to assess the science, but hav e formed no view of their own on global warming, could be found. 169

Public view of the climate science

126. There is no doubt that the e-mail discl osure from CRU in November 2009, and especially the extensive media coverage that has followed it ever since, has affected the general public view of climate science, both in the UK and further afield. Professor Bob Watson, Defra’s Chief Scientific Adviser, told us that “the media has certainly portrayed the UEA issue as a crisis, so I think to th e public it has been po rtrayed as a crisis”. 170 Professor Peter Cox, a cli mate scientist and a lead-author on the last IPCC 171 Working Group, in his written submission to us, said as much: “I am co ncerned that public confidence in the s cience of climate change has been undermined by the email leak”. 172 In its submission the Ro yal Society of Chemistry said that the:

true nature of science dictates that rese arch is transparent and robust enough to survive scrutiny. A lack of willingness to disseminate scientific information may infer that the scientific results or methods used are not robust enough to face scrutiny, even if this conjecture is not well-founded. This has far-reaching consequences for

168 “CRU Scientific A ssessment Panel announced ”, UEA Press Releas e, 22 March 2010, www.uea.ac.uk/mac/comm/media/press/CRUstatements/SAPannounce

169 As above
170 Q 198 171 Intergovernmental Panel on Climate Change
172 Ev 132, para 1The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 43

the reputation of science as a whole, with the ability to un dermine the public’s confidence in science. 173

127. The majority of submissions submitted to ou r inquiry has been from those who stated that the disclosed e-mails confirmed their wo rries that the climate change orthodoxy has serious flaws and the actions of CRU seriously impugned the integrity of climate change research. 174 A representative example was the me morandum from Dr Ph illip Bratby, “a semi-retired energy co nsultant”, who said that having examined the disclosures:

It is concluded that over at least a period of 20 years, climate s cience has been seriously compromised by the actions of a small group of scientists who have attempted to control the debate about cl imate change. The e ffects of this are potentially profound. For example a genera tion of work may have been corrupted and may be unreliable. A gene ration of students may have been corrup ted and their work may be unreliable. 175

128. Others offered a different perspective. Dr Timothy Osborn, a ful l-time member of staff at CRU, defended CRU: It is impossible to draw firm conclusi ons from the hacked documents and emails. They do not represent the complete recor d, and they are not a random selection from the complete recor d. They are clearly selected with a purpose in mind and it is easy for people to fall into the trap s set by those who did the selection. 176

129. Beyond CRU, Professor Hans von Storch and Dr Myles Allen, profes sional statistical climatologists, agreed th at the publication of the hacked e-mails had initiated an intense debate about the credibility of climate science an d that “unfortunatel y, this debate sometimes goes so far as to questi on a key result of climate science”, 177 and the language used in some of these e-mails ha s created concern, among both scientists and the public, about the openness and integr ity of the scientific process. But at the same time it is critical to point out that no gr ounds have arisen to doubt the validity of the thermometer-based temperature re cord since 1850, nor any results based upon it. 178

130. We put the concerns about th e threat to the reputation of science to the fifth panel who gave oral evidence: Professor John Be ddington, Government Ch ief Scientific Adviser, Professor Julia Slingo, Chief Scientist, Met Office, and Professor Bob Watson, Chief Scientist, Department for Envi ronment, Food and Rural Affairs. Prof essor Beddington did

173 Ev 171, para 4 174 For examples, see Ev 68 [R ichard S Courtney]; Ev 77 [Walter Radtke]; Ev 78 [Geoffrey Sherringt on]; and Ev 93 [Clive Menzies]
175 Ev 92, para 21 176 Ev 130, para 3 177 Ev 172, para 1

178 As above44 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

not consider that “UK sc ience has been damaged”. 179 The Met Office, in its written submission stated that the UK enjoys a reputation for strong and robust science on the international stage. In the field of climat e research the Met Office is widely acknowle dged as world leading. 180 Professor Slingo conf irmed in oral evidence that she has “absolute confidence in the science that we produc e at the Met Office”, 181 and Professor Watson, looking at the wider situation, attested that “there is absolutely no adverse effe ct on any of the conclusions of the IPCC.” 182

131. In our view, reputation has to be built on the solid fo undation of excellent, peerreviewed science. The review of the science to be carried out by the Scientific Appraisal Panel, which UEA announced on 22 March, should determ ine whether the work of CRU has been soundly built and it would be prem ature for us to pr e-judge that review.

132. Reputation does no t, however, rest solely on the quality of work as it should. It also depends on perception. It is self-evident that the disc losure of CRU e-mails has damaged the reputation of UK climate scienc e and, as views on global warming have become polarised, any deviation from the highest scient ific standards will be pounced on. As we explained in chapter 2, the practi ces and methods of climate science are a key issue. If the practices of CRU are found to be in line with the rest of climate science, the question would arise whether climate science methods of operation need to change. In this event we would recommend that the scientific community should consider changing those practi ces to ensure grea ter transparency.


### Need for a single review

133. The final issue is whether the best interests of science are served by having two reviews or inquiries. We found this difficult to evalua te as details of the S cientific Appraisal Panel were released in a late stage in our inquiry. When we asked Sir Muir whether it would be better to have a single in quiry, he responded: It would have been poss ible, obviously, to have construc ted an inquiry that looked at both aspects of that, and t hat was not what I was asked to do. Whether I would have been the right person to be asked to do it I do not know but certainl y it obviously became clear to the Vice Chan cellor that there was this different issue about the confidence that one should have not in al l the methodological and handling issues but in the higher level s et of conclusions about wh at was actually happening. 183

134. The process of two revie ws or inquiries is underway. In our view there is the potential for overlap between the two inquiries—for example, the ques tion of the operation of peer

179 Q 194 180 Ev 46, para 1
181 Q 197
182 Q 198
183 Q 181The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 45

review needs to examine both methodology and quality of the science subject to review. The two reviews or inquiries need to map thei r activities to ensure that there are no unmanaged overlaps or gaps. If there are, th e whole process c ould be undermined.46 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia



# 5 Conclusions

135. Consideration of the complaints and accu sations made against CRU has led us to three broad conclusions.

136. Conclusion 1 The focus on Professor Jone s and CRU has been largely misplaced. On the accu sations relating to Professor Jones’s refusa l to share raw data and computer codes, we consider that his actions were in line with comm on practice in the climate science community. We have suggested that the community consider becoming more transparent by publishing raw data and detailed methodologies. On accusations relating to Freedom of Info rmation, we consider that much of the responsibility should li e with UEA, not CRU.

137. Conclusion 2 In addition, insofar as we have been able to consider accusations of dishonesty—for exa mple, Professor Jones’s alleged attempt to “hide the decline”— we consider that there is no case to answer . Within our limited in quiry and the evidence we took, the scientific repu tation of Professor Jones and CRU remains intact. We have found no reason in this un fortunate episode to challenge the scientific consensus as expressed by Pr ofessor Beddington, that “global warming is happen ing [and] th at it is induced by human activity”. 184 It was not our purpose to examine, nor did we seek evidence on, the science produced by CRU. It will be for the Scient ific Appraisal Panel to look in detail into all the evidence to determine whet her or not the consensus view remains valid.

138. Conclusion 3 A great responsibility rests on the shoulders of climate science: to provide the planet’s d ecision makers wi th the knowledge they need to s ecure our future. The challenge that this poses is extensive and some of thes e decisions risk our standard of living. When the prices to pay are so la rge, the knowledge on which these kinds of decisions are taken had better be right. The science must be irreproachable.

184 Q 191The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 47



# Conclusions and recommendations

Datasets

1. We recognise that some of the e-mails suggest a blunt re fusal to share data, even unrestricted data, with others. We ackn owledge that Professor Jones must have found it frustrating to handl e requests for data that he knew—or perceived—were motivated by a desire simply to seek to undermine his work. But Professor Jones’s failure to handle helpfully requ ests for data in a field as important and controversial as climate science was boun d to be viewed with su spicion. He was obviously frustrated by other workers in the fie ld trying to “undermine” his work, but his actions were inevitably coun terproductive. Professor Jones told us that the published e-mails represented only “one tenth of 1%” of his output, which amounts to one million e-mails, and th at we were only seeing the end of a protracted se ries of e-mail exchanges. We consider that further suspicion could have been allayed by releasing all the e-mails. In a ddition, we consider th at had the available ra w data been available online from an early stage, these kinds of unfortunate e-mail exchanges would not have occurred. In our view, CR U should have been more op en with its raw data and followed the more open appr oach of NASA to ma king data available. (Paragraph 38)

2. We are not in a position to set out any further the ex tent, if any, to which CRU should have made the data available in th e interests of transparency, and we hope that the Independent Climat e Change Email Review will reach specific conclusions on this point. However, tr ansparency and ac countability are of are increasing importance to the public, so we recommend that the Go vernment reviews the rules for the accessibility of data sets collected and analysed with UK public money. (Paragraph 39)

3. We note that the research passed the peer review process of so me highly reputable journals. However, we note that CRU could have been more open at that time in providing the deta iled methodologic al working on its websi te. We recommend that all publicly funded research groups consider whether they ar e being as op en as they can be, and ought to be, with the details of their methodologies. (Paragraph 45)

4. We therefore conclude that there is inde pendent verification, through the use of other methodologies and other sources of da ta, of the results and conclusions of the Climate Research Unit at the University of East Anglia. (Paragraph 49)

5. Even if the data that CRU used were not publicly availabl e—which they mostly are— or the methods not published —which they have been—i ts published results would still be credible: the resu lts from CRU agree with those drawn from other in ternational data sets; in other words, the analyses have been repeated and the conclusions have been verified. (Paragraph 51)

6. It is not standard practice in climate science and many othe r fields to publish the raw data and the computer code in academic papers. We think that this is problematic because climate sc ience is a matter of global impo rtance and of public interest, and therefore the quality and transparency of the science should be irreproachable. We48 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

therefore consider that climat e scientists should take steps to make available all the data used to generate their published work, includ ing raw data; and it should also be made clear and referenced where data has b een used but, becaus e of commercial or national security reasons is not available . Scientists are also , under Freedom of Information laws and under th e rules of normal scientif ic conduct, entitled to withhold data which is due to be published under the peer-review process. In addition, scientists sh ould take steps to make available in full their methodological workings, including the computer codes. Data and methodological workings should be provided via the internet. There should be enough informatio n published to allow verification. (Paragraph 54)

7. Critics of CRU have suggested that Professor Jones’s us e of the word “trick” is evidence that he was part of a conspiracy to h ide evidence that did not fit hi s view that recent global warming is predominately caused by human activity. The balance of evidence patently fails to support this vi ew. It appears to be a colloquialism for a “neat” method of handli ng data. (Paragraph 60)

8. Critics of CRU have su ggested that Profe ssor Jones’s use of the words “hide the decline” is evidence that he was part of a conspiracy to hide ev idence that did not fit his view that recent global warming is predominantly caused by human activity. That he has published papers—including a paper in Nature —dealing with this aspect of the science clearly refutes this allegation . In our view, it wa s shorthand for the practice of discarding data known to be erroneous. We ex pect that this is a matter the Scientific Appraisa l Panel will address. (Paragraph 66)

9. The evidence that we have seen does not su ggest that Professor Jones was trying to subvert the peer review process. Academ ics should not be criticised for making informal comments on acad emic papers. The Independen t Climate Change Email Review should look in detail at all of thes e claims. (Paragraph 73)

Freedom of Information issues

10. We regret that the ICO made a statement to the press that went beyond th at which it could substantiate and that it took over a month for th e ICO properly to put the record straight. We recommend that the IC O develop procedures to ensure that its public comments are checked and that mechanisms exist to swiftly correct any misstatements or misinterpretations of such statements. (Paragraph 91)

11. There is prim a facie evidence that CRU has breached the Freedom of Information Act 2000. It would, however, be prematur e, without a thorough investigation affording each party the opportunity to ma ke representations, to conclude that UEA was in breach of the Act. In our view, it is unsatisfactory to leave the matter unresolved simply because of the operatio n of the six-month time limit on the initiation of prosecutions. Much of the re putation of CRU hangs on the issue. We conclude that the matter needs to be resolved co nclusively—either by the Independent Climate Change Email Review or by the Information Commissioner. (Paragraph 93)The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 49

12. If the Minister was correct to assert in July 2009 that the Government had no evidence that the current six-mo nth time limit presents a sy stemic problem, then it is now clear that such evidence exists. Irrespective of whether or not CRU breached the Freedom of Information Act 2000, we recommen d that the Government review the operation of section 77 of the 2000 Act and the six month limit on the initiation of prosecutions provided by section 127(1 ) of the Magistrates Court Act 1980. (Paragraph 95)

13. We have already recommended in paragraph 54 above that in future information, including data and methodol ogy, should be published pr oactively on the internet wherever possible. However, a culture of withholding information—from those perceived by CRU to be ho stile to global warming—appe ars to have pervaded CRU’s approach to FOIA requests from the outset. We consider this to be unacceptable. (Paragraph 103)

14. We cannot reach a firm conclusion on the basis of the evidence we took but we must put on record our concern about the manne r in which UEA all owed CRU to handle FOIA requests. Further, we found prima facie evidence to sugge st that the UEA found ways to support the cult ure at CRU of resisting disclosure of information to climate change sceptics. The failure of UE A to grasp fully the potential damage to CRU and UEA by the non-disclosure of FO IA requests was regrettable. UEA needs to review its policy to wards FOIA and re-assess how it can support academics whose expertise in this area is limited. (Paragraph 104)

The Independent Climate Change Email Review

15. We accept the assurances th at Sir Muir Russell has given about the independence of the Independent Climate Change Email Revi ew and we expect him to be scrupulous in preserving its impartialit y. We see no reason why the Review’s conclusions and UEA’s response have to be published together. Indeed, it could give the impression that UEA was being given an advantage when it comes to responding. We consider that the Review’s conclusions and recomme ndations should not be conveyed to UEA in advance of publica tion. (Paragraph 113)

16. With regards to the terms of reference of the Review, we consider that as well as measuring CRU against current acceptable scientific practice, th e Review should also make recommendations on best practice to be followed by CRU in the future. We invite Sir Muir Russell to respond formally to our Report to the extent that he sets out whether, on the basis of its contents, he finds the Terms of Reference of his inquiry need to be chan ged. (Paragraph 114)

17. It is unfortunate that the Independent Review got off to a bad star t with the necessary resignation of Dr Campbell. Th e question of the operation of peer review is going to be a critical issue in the inquiry and the Review Team need s to ta ke steps to ensure the insight and experience he would ha ve brought are replaced. (Paragraph 119)

18. We conclude that, when the Independent Review holds oral hearings or interviews, they should be carried out in public wherever poss ible and that it should publish all the written evidence it receive s on its website as soon as possible. (Paragraph 122)50 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

The Scientific Appraisal Panel

19. In our view, reputation has to be built on th e solid foundation ofexcellent, peerreviewed science. The review of the science to be carr ied out by the Scientific Appraisal Panel, which UEA announced on 22 March, should determine whether the work of CRU has been soundly built and it would be prem ature for us to pre-judge that review. (Paragraph 131)

20. Reputation does not, however, rest solely on the quality of work as it should. It also depends on perception. It is self-evident that the disclos ure of the CRU e-mails has damaged the reputation of UK climate scienc e and, as views on global warming have become polarised, any devia tion from the highest scie ntific standards will be pounced on. As we explained in chapte r 2, the practices an d methods of climate science are a key issue. If the practices of C RU are found to be in li ne with the rest of climate science, the question would ar ise whether climate sc ience methods of operation need to change. In this event we would recommend that the scientific community should consider ch anging those practices to ensure greater transparency. (Paragraph 132)

The two inquiries

21. The two reviews or inqu iries need to map their activities to ensure that there are no unmanaged overlaps or gaps. If there are, the whole process could be undermined. (Paragraph 134)

Conclusions

22. The focus on Professor Jones and CRU has been largely misplaced. On the accusations relating to Professor Jones’s refusal to share raw data and computer codes, we consider that his actions were in line with common pr actice in the climate science community. We hav e suggested that the comm unity consider becoming more transparent by publi shing raw data and detail ed methodologies. On accusations relating to Freedom of Infor mation, we consider that much of the responsibility should lie with UEA, not CR U. (Paragraph 136)

23. In addition, insofar as we ha ve been able to consider ac cusations of dishonesty—for example, Professor Jones’s al leged attempt to “hide the de cline”—we consider that there is no case to answer. Within our lim ited inquiry and the evidence we took, the scientific reputation of Professor Jones and CRU remains intact . We have found no reason in this unfortunate episode to challenge the scient ific consensus as expressed by Professor Beddington, that “global warming is happening [and] that it is induced by human activity”. It was not our purpos e to examine, nor did we seek evidence on, the science produced by CRU. It will be for the Scientific Appraisal Panel to look in detai l into all the evidence to determine whet her or not the conse nsus view remains valid. (Paragraph 137)

24. A great responsibility rests on the shoulders of climate science: to provide the planet’s decision makers with the knowle dge they need to secure our future. The challenge that this poses is extensive and some of these de cisions risk our standard ofThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 51

living. When the prices to pay ar e so large, the knowledge on which these kinds of decisions are taken had bett er be right. The science must be irreproachable. (Paragraph 138)52 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia



# Formal Minutes

Wednesday 24 March 2010

Members present:

Mr Phil Willis, in the Chair

Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Graham Stringe r

The Committee considered this matter.
Draft Report (The disclosure of climate data from the Climatic Research Unit at the University of East Anglia), proposed by the Chair, brought up and read.

Ordered , That the draft Report be read a second time, paragraph by paragraph.
Paragraphs 1 to 46 read and agreed to.
Paragraph 47 read.
Question put, That the paragraph stand part of the Report.

The Committee divided.
Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Paragraphs 48 to 50 read and agreed to.
Paragraph 51 read.
Question put, That the paragraph stand part of the Report.

The Committee divided.

Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Paragraphs 52 to 65 read and agreed to.
Paragraph 66 read.
Amendment proposed, to leave out from the beginning to “We” in line 6 and insert “We have not taken enough evidence on this matter to come to a final conclusion”.—( Graham Stringer. )
Question put, That the Amendment be made.The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 53

The Committee divided.
Ayes, 1 Graham Stringer Noes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon
Paragraph 66 agreed to.
Paragraphs 67 to 131 read and agreed to.
Paragraph 132 read.
Amendment proposed, to leave out from “science” in line 6 to the end and add “it would be necessary for the whole of climate science to increase its transparency and improve its scientific methodology”.—( Graham Stringer .)
Question put, That the Amendment be made.

The Committee divided.
Ayes, 1 Graham Stringer Noes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon
Paragraph 132 agreed to.
Paragraph 133 read and agreed to.
Paragraph 134 read.
Amendment proposed, at the end of line 5 to insert “ Given the increasingly hostile attitudes of both sides on this issue, it is vital that these two inquiries have at least one member each who is a reputable scientist, and is sceptical of anthropogenic climate change ” .—( Graham Stringer. )
Question put, That the Amendment be made.

The Committee divided.
Ayes, 1 Graham Stringer Noes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon
Paragraphs 135 and 136 read and agreed to.
Paragraph 137 read.
Amendment proposed, after “answer” in line 3 add “ Within our limited inquiry and the evidence we took, the scientific reputation of Prof essor Jones and CRU remains intact. ”—( Dr Evan Harris. )
Question put, That the Amendment be made.54 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

The Committee divided.
Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Question put, That the paragraph, as amended, stand part of the Report.

The Committee divided.
Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Paragraph 138 read and agreed to.
Summary brought up and read.
Question put, That the summary be added to the Report.

The Committee divided.
Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Motion made, and Question put, That the Report be the Eighth Report of the Committee to the House.

The Committee divided.
Ayes, 3 Mr Tim Boswell Dr Evan Harris Dr Brian Iddon Noes, 1 Graham Stringer

Resolved , That the Report be the Eighth Report of the Committee to the House.

Ordered , That the Chair make the Report to the House.

Ordered , That embargoed copies of the Report be made available, in accordance with the provisions of Standing Order No. 134.
Written evidence was ordered to be reported to the Hous e for printing with the Report, together with written evidence reported and ordered to be published on 24 February and 1 March 2010.
Written evidence was ordered to be reported to th e House for placing in the Library and Parliamentary Archives.

[The Committee adjournedThe disclosure of climate data from the Climatic Research Unit at the University of East Anglia 55



# Witnesses

Wednesday 1 March 2010
The Rt Hon Lord Lawson of Blaby, Chairman, and Dr Benny Peiser, Director, Global Warming Policy Foundation Ev 2

Richard Thomas CBE, former Information Commissioner Ev 11

Professor Edward Acton, Vice-Chancellor, University of East Anglia and Professor Phil Jones, Director of the Climatic Research Unit Ev 27

Sir Muir Russell, Head of the Independent Climate Change E-Mails Review Ev 41
Professor John Beddington, Government Chief Scientific Adviser, Professor Julia Slingo OBE, Chief Scientist, Met Office, and Professor Bob Watson, Chief Scientist, Defra Ev 58



# List of written evidence

1 Andrew Montford Ev 159 2 Anne Stallybrass Ev 169 3 Aporia Ev 98
4 Climate Change E-Mails Review Team Ev 39 5 Clive Menzies Ev 93 6 David Andrew Cockroft Ev 168
7 David Holland Ev 115 8 David Shaw Ev 99 9 Douglas J. Keenan Ev 181 10 Dr. Benny Peiser Ev 164
11 Dr. D. R. Keiller Ev 103 12 Dr. Michael Simons Ev 97 13 Dr. Sonja Boehmer-Christiansen Ev 124, Ev 127
14 Dr. Timothy J. Osborn Ev 129 15 Edward Dilley Ev 76 16 Eric Rasmusen Ev 89
17 G R Ryan Ev 78 18 Geoffrey Sherrington Ev 78 19 Global Warming Policy Foundation Ev 1 20 Godfrey Bloom MEP Ev 92 21 Ian Goddard Ev 82 22 Institute of Physics Ev 167 23 J Ronan Ev 19756 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia

24 John F Kelly Ev 191 25 John Graham-Cumming Ev 195 26 John Wadsworth Ev 81 27 Lalu Hanuman Ev 81 28 Martin Brumby Ev 82 29 Met Office Ev 46, Ev 64 30 Mike Haseler Ev 133 31 Nicholas Barnes and David Jones Ev 197 32 Peabody Energy Company Ev 191 33 Peter Sinclair Ev 82 34 Peter Taylor Ev 186 35 Phillip Bratby Ev 90 36 Professor Darrel Ince Ev 152 37 Professor Hans von Storch a nd Dr. Myles R. Allen Ev 172 38 Professor John Beddington, Government Chief Scientific Adviser Ev 45, Ev 64
39 Professor Peter Cox Ev 132 40 Professor Ross McKitrick Ev 140
41 Public Interest Research Centre Ev 176 42 Research Councils UK Ev 175 43 Richard S Courtney Ev 68
44 Richard Thomas CBE Ev 7 45 Richard Tyrwhitt-Drake Ev 162 46 Roger Helmer MEP Ev 85
47 Ronald K Bolton Ev 119, Ev 123 48 Royal Society of Chemistry Ev 170 49 Royal Statistical Society Ev 185 50 Stephen McIntyre Ev 82, Ev 144 51 Stephen Prower Ev 86 52 Steven Mosher Ev 151 53 Stuart Huggett Ev 77 54 Susan Ewens Ev 83 55 University of East Anglia Ev 16, Ev 17, Ev 25, Ev 34, Ev 37, Ev 38 56 Walter Radtke Ev 77 57 Warwick Hu ghes Ev 153The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 57


# List of unprinted evidence

The following written evidence has been reported to the House, but has not been printed and copies have been placed in the House of Commons Library, where they may be inspected by Members. Other copies are in the Parliamentary Archives (www.parliament.uk/archives), a nd are available to the public for inspection. Requests for inspection should be addressed to The Par liamentary Archives, Houses of Parliament, London SW1A 0PW (tel. 020 7219 3074; e-mail archives@parliament.uk). Opening hours are from 9.30 am to 5.00 pm on Mondays to Fridays.
CRU 27 The Global Warming Policy Foundation annexes CRU 58/58a Dr Nigel Dudley memoranda58 The disclosure of climate data from the Climatic Research Unit at the University of East Anglia


# List of Reports from the Committee during the current Parliament

The reference number of the Government’s re sponse to each Report is printed in brackets after the HC printing number.

Session 2009–10 First Report The work of th e Committee in 2008–09 HC 103 Second Report Evidence Check 1: Early Literacy Interventions HC 44 (HC 385) Third Report The Government’s review of th e principles applying to the treatment of independent scientific advice provided to government HC 158-I (HC 384)

Fourth Report Evidence Check 2: Homeopathy HC 45 Fifth Report The Regulation of Geoengineering HC 221 Sixth Report The impact of sp ending cuts on science and scie ntific research HC 335-I Seventh Report Bioengineering HC 220 Eighth Report The disclosure of climate data fro m the Climatic Research Unit at the University of East Anglia HC 387-I

Session 2008–09 First Report Re-skilling for recovery: After Leitch, implementing skills and training policies HC 48–I (HC 365)

Second Report The Work of the Committee 2007–08 HC 49 Third Report DIUS’s Department al Report 2008 HC 51–I (HC 383) Fourth Report Engineering: turning ideas into reality HC 50–I (HC 759) Fifth Report Pre-appointment hearing with the Chair-elect of the Economic and Social Research Council, Dr Alan Gillespie CBE HC 505

Sixth Report Pre-appointment hearing with the Chair-elect of the Biotechnology and Biological Sciences Research Council, Professor Sir Tom Blundell HC 506

Seventh Report Spend, spend, spend? – The misma nagement of the Learning and Skills Council’s capital programme in further education colleges HC 530 (HC 989)

Eighth Report Putting Science and E ngineering at the Heart of Government Policy HC 168–I (HC 1036) Ninth Report Pre-appointment hearing with the Chair-elect of the Science and Technology Facilities Council, Professor Michael Sterling HC 887

Tenth Report Sites of Special Sc ientific Interest HC 717 (HC 990) Eleventh Report Students and Universities HC 170–I (HC 991)

Session 2007–08 First Report UK Centre for Medical Re search and Innovation HC 185 (HC 459) Second Report The work and operation of the Copyright Tribunal HC 245 (HC 637) Third Report Withdrawal of funding for equivalent or lower level qualifications (ELQs) HC 187–I (HC 638)

Fourth Report Science Budget Allocations HC 215 (HC 639) Fifth Report Renewable elec tricity-generation technologies HC 216–I (HC 1063) Sixth Report Biosecurity in UK res earch laboratories HC 360–I (HC 1111)The disclosure of climate data from the Climatic Research Unit at the University of East Anglia 59

Seventh Report Pre-legislative Scrutiny of the Draft Apprenticeships Bill HC 1062–I (HC (2008–09)262) First Special Report The Funding of Science and Disc overy Centres: Government Response to the Eleventh Repo rt from the Science and Technology Committee, Session 2006–07 HC 214

Session 2007–08 (Continued) Second Special Report The Last Report: Government Res ponse to the Thirteenth Report from the Science and Technol ogy Committee, Session 2006–07 HC 244

Fourth Special Report Investigating the Oceans: Governme nt Response to the Science and Technology Committee’ s Tenth Report of Session 2006–07 HC 506 [incorporating HC 469–i]