The key to the successful management of information requests is being
able to discriminate between routine or straightforward requests and requests
which require more careful processing.
This flowchart sets
out a suggested process for handling requests for information. It illustrates
a process for handling routine information requests from receipt to response.
It also includes directions on ways of handling the more complex and sensitive
information requests which will usually require the advice of your department's
FOI expert.
Assessing the complexity of a request to identify the correct process
It can sometimes be difficult to assess at first glance the complexity
of a request for information or to judge the level at which it needs to
be signed off. You will, of course, have internal procedures that must
be followed, but you will also have to rely on your own judgement to spot
the cases that need more careful handling.
Routine requests
These are the straightforward requests for information that you dealt
with as a matter of course before the FOI Act came into force. Examples
include asking for copies of documents produced by the department, asking
for contact details, asking for opening hours or details of services
that the department provides to the public. These kinds of requests
will continue to be dealt with as normal under FOI, there is no need
to fully engage FOI procedures or refer these kinds of requests to more
senior staff. The 20 working days deadline for response must still be
adhered to (for more information see the chapter on Time and Fees Processes).
Much of the routine correspondence dealt with by public authorities
will also fall within this category - at least to the extent to which
they simply ask for information which the authority already holds and
makes readily available.
More complex and sensitive requests
The Freedom of Information Act means that Departments will have to deal
with more complex requests for information. These will be requests for
information which go beyond the day-to-day correspondence that you normally
deal with. Requests may be complex for a variety of reasons. For example:
requests may involve consultation with other public bodies or
with third parties;
it may be unclear as to whether or not the information sought
is exempt;
requests on issues which have a high public profile;
requests which may relate to financial interests; and
requests which may be part of an orchestrated campaign.
In any case of this nature, it will be important that your FOI specialists
are involved. Some particularly important kinds of complex requests
are considered further below.
"Mixed" requests
A mixed request is a case in which an applicant requests information
which needs to be considered under more than one access to information
regime. The most important access regimes apart from FOI are subject access
under the Data Protection Act 1998 and access to environmental information
under the Environmental Information Regulations 2004. The key similarities
and differences between these three regimes are set out in Table 1 below.
Subject access under the Data Protection Act 1998
The Data Protection Act protects people's right to private life in two
ways:
it sets out eight data protection principles that people must
comply with when they deal with and disclose personal data;
it gives individuals a number of specific legal rights, in particular
the right of access to their personal data.
Requests under the Data Protection Act are known as "subject access
requests".
The main features of the processing of subject access requests are:
from January 2005 it will apply to all personal data that is held
by public authorities;
the public authority must reply within 40 calendar days;
the request does not have to cite the Data Protection Act; and
there are a number of exemptions from the right of access.
If a request for information is to any extent a "subject
access request" then it must to that extent be dealt with in accordance
with the Data Protection Act. It is important that you are able to recognise
a subject access request and that it is dealt with quickly and in line
with existing procedures.
The personal data of other people (that is, people other than the person
making the request) is exempt under section 40 of the Freedom of Information
Act. Guidance on the interaction between the FOI Act and the Data Protection
Act may be found in the exemptions guidance.
access to environmental information under the Environmental
Information Regulations 2004
Revised and strengthened Environmental Information Regulations (EIR)
come into force on 1 January 2005. Like the Freedom of Information Act
they give access rights to any person, anywhere in the world, but they
deal specifically with information relating to any decisions, activities
and policy formulation that may have an impact on the environment. The
definition of environmental information is broad and includes such things
as water pollution statistics, information about the built environment,
the food chain, details of the public authority's health and safety
policies, cost benefit analysis, details of discharges and emissions,
and any information relating to policies, plans and programmes that
affect, or are likely to affect, the environment.
The main features of the Environmental Information Regulations are:
Requests may be made orally or in writing.
The public authority must reply within 20 working days.
There is a limited range of exemptions, all of which are subject
to a public interest test.
There is no upper limit for the cost of meeting a request beyond
which the request may be refused
Environmental information is exempt information under section 39 of
the FOI Act. Once again, any request for environmental information must
be dealt with under the EIRs regime. The interaction between the FOI
Act and EIRs may be found in the exemption guidance.
These are complex request to handle. For instance, a number of requests
you will receive may ask for "all the information you have about
my case" and in, say, a planning application, this may well give
rise to the need to consider the request and different parts of it,
under all three regimes. If you are unsure how to proceed, you should
engage your FOI specialist who will provide you with the advice your
require.
If you decide to respond to a mixed request, you should try to ensure
that the request is dealt with within the closest timescale. For instance,
a request which contains information which is both personal information
under the DPA and information to be considered under the FOIA should
aim to be dealt with within 20 working days. If you are not able to
comply with this, you should ensure that the FOI Act information is
provided within 20 working days, and acknowledge in the letter you send
with the information that you are considering the release of other information
under the Data Protection Act. You should also let them know when they
can expect the further information.
Requests where central co-ordination is necessary
Some of the most complex and sensitive requests will be those which FOI
Officers will refer to the Central Clearing House for guidance and advice.
This will be because they raise difficult issues which go to the heart
of the careful balance which needs to be struck between people's right
to know and the Government's ability to govern effectively.
The Clearing House
The Clearing House will act as the central point of expertise, guidance
and advice for all FOI requests which raise sensitive issues and have
Whitehall-wide implications.
The Clearing House will:
ensure a consistent government-wide position on round-robin and potentially
precedent setting cases;
provide guidance on all sensitive cases with a potentially high profile;
align responses, where necessary, with government policy and guidance;
revise government guidance in the light of emerging case law and new
policy; and
be a source of expert advice and guidance to Departments on the FOI
Act, Data Protection, and the Environmental Information Regulations.
The Clearing House will not answer requests on behalf of Departments.
It will provide advice on difficult cases, but the responsibility for
answering the requests will still lie with the Department which holds
the information requested.
Which requests should be referred to the Clearing House?
It is not possible to provide a conclusive or exhaustive list of those
requests which should be referred to the Clearing House. However, the
list below should serve as a guide of the broad range of matters which
your FOI specialist must see and, if he or she deems appropriate, refer
to the Clearing House.
requests which obviously involve cross Whitehall issues;
Round Robin requests, such as those relating to Departmental financial
information;
requests raising difficult issues about the application of sensitive
exemptions, for example those relating to the policy-making process
(advice to Ministers, Ministerial letters), cabinet correspondence or
papers, national security or international relations, commercial confidentiality
or legal advice;
requests for which Ministerial certificates may have to be considered;
and
particularly difficult mixed requests.
If you are unsure about the need to refer any particular request to the
Clearing House, your FOI specialist will be able to advise you.
Access Regime
Subject matter
Time Limit
Cost
Exemptions
Is citation of Act the needed in the request
Coverage
Freedom of Information
All information not accessible under the Data Protection and Environmental
Information Regulations
20 working days from receipt of request
No fee for information requests which cost less than £600
(central government), or £450 (local government) - but can
charge for disbursements, ie. photocopying, posting
23 exemptions, two different types:
i.) Qualified - subject to a public interest test
ii.) Absolute exemption
No
UK Government departments plus public authorities in England & Wales
and Northern Ireland
Scotland has separate Act
Data Protection
Applicant's own personal data
40 calendar days
Subject Access Requests cost £10
Limited range of exemptions, not subject to the public interest
test. Some vary considerably from those in the FOI Act.
No
UK Application
Environmental Information Regulations
Environmental Information
20 working days
Fees may be charged and no upper limit for the cost of meeting
a request beyond which the request may be refused.
Limited range of exemptions, all of which involve Public Interest
Test
No
One set of regulations for England & Wales and Northern Ireland,
similar regulations for Scotland
