Dealing with requests under Freedom of Information Act

Contents

• Part 1 - Principles
• Information covered by the Freedom of Information Act
• Part 2 - Request Handling Procedure
• Stage 1 - Receipt and Referral
• Stage 2 - Validation and Identification Stage
• Stage 3 - Preliminary Assessment
• Stage 4 - Collation
• Stage 5 - Assessment Stage
• Stage 6 - Decision making and notification
• Review and file closure

Dealing with Requests for Information - Policy

Part 1: Principles

Introduction

The Freedom of Information Act 2000 (FOIA) introduces wide-ranging access for everyone to recorded information held by the Council.  Almost all information held by the Council is covered by the FOIA, although there are a number of categories of exempt information.  This is a Code of Practice for Waltham Forest employees when processing requests for information. Its purpose is to instil a ‘freedom of information’ culture within Waltham Forest that balances the need to be open, accountable and transparent but recognises that there is certain confidential information, which is not in the public interest to disclose. It has been produced after taking into account the Access Code issued by the Lord Chancellor under section 45 of the FOIA.

Applicant Focussed Request Handling

Consistent with the FOIA, it is the Council’s policy to take an applicant-focussed approach to requests for information. Applicants will be treated as customers and the provision of information under the FOIA as a service provided by the Council and not as a ‘necessary evil’.  Each applicant must be given the appropriate level of advice and assistance to deal with their request. The Council recognises the importance of effective communication with each applicant to ensure the most satisfactory match is made between each applicant’s information requirements and the Council’s holdings.  

Proactive Approach to Information Availability

The Council will pro-actively seek to make information available to the public.  With this approach, it is hoped that many requests can be satisfied without an applicant having to make a formal application under the FOIA.  This is to be achieved by making information available through a number of means, including:

• The Council’s Publication Scheme, which identifies all the current publicly available information in the Council.  
• WFD Direct, which is the Council’s customer service centre that is accessible by telephone, the Council’s Internet site and One Stop Shops in the Borough. It currently provides a wide range of information and direct access to an increasing percentage of Council services.
• The Council’s Archive based at Vestry House Museum.
• The existing statutory regimes for public access to Council held information, such as the Planning Register, Land Charges Register and access to Council, Executive and Committees meetings and papers.

As the Council already provides a wide range of information to the public, it is not intended for the FOI to detract from this or make this more difficult by requiring a formal request to be made.  This means that where information is currently made available it should continue to simply be supplied to people upon request.

If requested information is not immediately available, then applicants will be advised how to make a formal request for information.  When a formal request is made, the aim will be to respond positively and, where possible, provide the information requested.  If this is not possible, the Council will look to reasonable, alternative ways of assisting the applicant.  

Non-Disclosure

Waltham Forest and the FOIA recognises that there will always be some information which it must not disclose or which it is not in the public interest to disclose.  In these cases the Council will ensure that applicants are given clear and accurate reasons for the refusal of their requests and assistance in finding relevant, alternative information. Applicants have the right to have the decision reviewed internally then externally by the Information Commissioner. Applicants will be informed of this right and may seek such a review if dissatisfied with the Council’s response.

Accessibility

The Council will endeavour to make the process of requesting information equally accessible to all groups, taking into account its statutory obligations under equal opportunities and anti-discrimination legislation.   Much information is already available in a number of different format and languages.  Individual requests will be considered according to their circumstances and needs.

Information Covered by the FOIA

An FOIA RFI must relate to information held by the Council.  This will include information that is:

• created and held by the Council;
• received from other parties by the Council for its purposes; and
• information that is held by others on behalf of the Council such as information held by contractors which relates to public functions)  

The FOIA does not require the Council:

• to supply information that it has previously but no longer holds;
• to create new information in response to a request;  
• to disclose personal data (except in limited circumstances); or
• to disclose information it holds solely on behalf of other persons, such as a secure storage facility.

Transfer

If the Council does not hold the information requested but knows of another public authority which does, it will make reasonable efforts to assist the applicant by offering to transfer the request.  This will be done as promptly as possible and, where appropriate, after checking with the applicant and transferee.  

Third Party

The Council will aim to consult with third parties where disclosure of information may affect the legal rights of that third party.  Even where a third party’s legal rights are not affected, consultation may still be appropriate where the views of the third party will assist the Council in making its decision about the application of an exemption or the application of the public interest test.  

The Council recognises that accepting information from third parties in confidence should only occur where it is necessary to obtain that information in connection with the Council’s functions and it would not otherwise be provided.  

Review

The Council has established an internal review procedure for appeals about request decisions. The procedure forms part of the Council’s Corporate Complaints Policy and is administered by the Corporate Complaints Unit.  However, complaints about the Council’s request handling process which are not related to decisions made under the FOIA, such as that a member of staff was rude, will be considered under the normal Corporate Complaints Policy.  

The Council recognises that applicants may have the right to make a complaint to the Information Commissioner.  The Council will assist the Information Commissioner with any queries or investigations.  This may include supplying the Commissioner with copies of the disputed information, internal review decisions and the like.   

If either the Applicant or the Council disagrees with an Information Commissioner decision, they can appeal to the Information Tribunal.

Part 2 - Request Handling Procedure

Introduction

As a request for information may be made to any one in the Council, under the FOIA, all employees have a responsibility to handle requests for information. In practice, however, to ensure all RFI are dealt with according to the Council policies, applicants will be directed to specific points of access within the Council.

The Council’s request handling procedure has the following stages.

• Receipt and Referral
• Validation and Identification
• Preliminary Assessment
• Collation
• Assessment
• Decision-making and notification

Request handling in practice must be flexible and responsive to the demands of the individual.  In particular, although requests may take 20 working days, all reasonable efforts should be made to respond as promptly as possible.

Until the Council’s Request Handling Procedure is reviewed, the Information Officer will manage the handling of all formal RFI under this procedure.  Each Directorate will appoint one or more Liaison Officers who will be responsible for FOIA compliance within their Directorates.

All reference to days in this policy is a reference to working days as defined under the FOIA.

Stage 1 – Receipt & Referral

Waltham Forest Direct

It is intended that for the majority of Requests For Information should be made wherever possible via Waltham Forest Direct either by:

• Telephoning Waltham Forest Direct on 020 8496 3000.
• Visiting a One Stop Shop.
• Completing an online form (request form - doc) (request form - pdf).

Customer services advisors will aim to comply with the applicant’s request at first instance, this will be done by:

• referring the applicant to the publication scheme, if the information is already available;
• conducting a quick search of the publication scheme for the applicant, where appropriate/practicable to ascertain if the information is already available;
• referring the applicant to another more accessible source for the information, such as. a public library, the website, an archive, or another public authority;
• referring the applicant to a Council service helpdesk or duty officer (although the advisor should advise the service that the caller is making a request for information).

The primary aim of this stage is to help the applicant find the information immediately if that is possible, as a formal request will likely lead to a greater delay in the applicant receiving the information.  However, it is not intended that there should be a detailed search.

Formal Requests

In instances where a detailed search is necessary, or where the applicant prefers to make a formal request immediately, or if the request is complex (including requests for personal information) then it is more appropriate for a formal Freedom Of Information Act request to be made. In such circumstances, if the applicant agrees, Waltham Forest Direct will generate a service request form, which will be forwarded to the generic Freedom Of Information Act email address, foi@walthamforest.gov.uk. An acknowledgement letter to the applicant will also be generated. The applicant should also be advised that if they do not wish WFD to generate the request for them, they may complete the online form themselves and either submit it immediately or send it by email to foi@walthamforest.gov.uk or by post to:

The Information Officer
Corporate Governance Unit
London Borough of Waltham Forest
Waltham Forest Town Hall
Forest Road
London
E17 4JF

The applicant should also be informed that they can write the request themselves. However, they must ensure they include all the mandatory information and then send it to the Information Officer at the above address.

Alternative Means of Making an RFI

Requests for information may also be made directly to the Information Officer or to any Service in the Council.  In such circumstances, the Service or Information Officer will establish whether the RFI can be resolved at first instance (as for WFD above).  If this fails, then they will advise the Applicant how a formal request may be made.  If the request is made verbally, officers will offer to assist the Applicant to make the request in writing, such as by filling in and printing out the electronic form on the Council’s website.

Services assisting with such formal RFI will forward the RFI to the Information Officer (preferably by email) with the date of the request and the name of the referring officer, in addition to the requirements under the FOIA.

The Council’s Information Officer can be contacted at FOI@walthamforest.gov.uk: or

The Information Officer
Corporate Governance Unit
London Borough of Waltham Forest
Waltham Forest Town Hall
Forest Road
London
E17 4JF

The Information Officer will then manage the handling of all requests until their final resolution.  

Stage 2 – Validation and Identification Stage  (2 days)

Upon receiving the RFI, the Information Officer will establish whether it is procedurally compliant and seek to resolve any compliance issues with the applicant. This includes:

• sending an acknowledgement letter, if the request did not come through WFD;
• opening a file named with the applicant’s name and the date of the request e.g. FENWICK 01/01/05.   All correspondence and file notes will be placed on the file with a copy of any information relating to the request, whether disclosed or otherwise;
• updating the tracking table;
• identifying the subject matter of the request and advising the appropriate Directorate Liaison Officer of the RFI;
• checking compliance.

Compliance checking involves checking that the applicant has provided a name, address and given sufficient details regarding the request. If a request is compliant, the information officer will diarise compliance dates and then move on to stage 3.  If a request is non-compliant, the Information Officer will, after informing the Liaison Officer, inform the applicant and advise how the RFI needs to be amended.

Upon receiving an amended and compliant request, the Information Officer will set the compliance deadlines then move on to stage 3.

If the amended request is still non-compliant, the RFI will be rejected, which will involve:

• sending a decision and right of review letter to the applicant;
• consideration of whether to refer the applicant to alternative sources; and
• recording the outcome.

In the event that there is no response within 3 months of the request to amend the RFI for compliance, the Information Officer will close the file advising the applicant and Directorate.

Stage 3 – Preliminary Assessment (5 Working Days)

Following stage 2, the Information Officer will conduct an assessment on preliminary issues involving the RFI. Specifically, the Information Officer will consider:

• Whether it is appropriate to transfer the request.
• Whether it is appropriate to charge a fee for the request.
• Whether the request is repeated, vexatious or beyond the appropriate limit .

This process involves the Liaison Officer identifying the appropriate documents relating to the request and then giving a view on the above issues to the Information Officer.

If it is considered appropriate to transfer the request, the Information Officer will transfer the request to the appropriate body, informing the transferee, the applicant and the Liaison Officer.

If a request is considered repeated, vexatious or beyond the appropriate limit, the Information Officer may refuse the request and inform the applicant and the Liaison Officer.

If it is considered appropriate to charge a fee for the request, the Information Officer will inform the applicant and Liaison Officer. In doing this, the applicant will have the opportunity to amend the request if it is unwilling to pay the fee. After informing the customer, a fee estimate will be obtained and an invoice generated. The applicant has up to 3 months to pay the fee, until which time the timeline to respond to the request is suspended. If no fee is paid within 3 months, then the RFI file is closed.

Stage 4 – Collation (7 working days)

After the preliminary assessment, the Liaison Officer will be required to collate all relevant documents pertaining to the request. In doing so, the Liaison Officer should consider whether any possible exemptions may apply to the request, this will assist the discussion with the Information Officer in stage 5.  This process will take up to 7 working days.

Stage 5 - Assessment Stage (3 working days)

After all documents have been collated, the Information Officer and Liaison Officer will discuss the Liaison Officer’s view on the disclosure of the documents. The Information Officer will then consider the:

• Exemptions and public interest test
• Extension of time for public interest test
• Format requested
• Redaction of exempt info
• Alternative forms of compliance

Stage 6 – Decision-Making and Notification (3 days)

This stage involves pulling together the decisions relating to the release of the RFI. The Information Officer may either:

• fully comply with the RFI; or
• refuse the RFI: either wholly or in part, together with reasons for refusal of request whether in whole/or part.

Both options will involve providing a notification letter to the applicant, which outlines the right of review. If there is a refusal, the notification must outline the reasons for the decision and the Information Officer should be open to informal discussion to avoid complaint and consider if alternative compliance is possible and advise accordingly.

The Information Officer must then:

• Inform the Liaison Officer
• Record the decision
• Retain a copy of the material released/refused
• Monitor decisions/outcomes.
• Complete Tracking Form

Review & File Closure

After handling a request, before the file may be closed, there may be a review of the Information Officer’s decision, either internally or by the Information Commissioner. This is dealt with under a separate procedure but the Information Officer must ensure that:

• Where appropriate, seek informal resolution
• Assist reviewer or IC or Information Tribunal in complaint
• Comply with outcome – which may involve going through the Request Handling Procedure again.
• Monitor outcomes of review.

When closing a file, the following steps will be followed:

• Finalise monitoring info.
• Fillet and close file.  Confirm this to applicants, as appropriate.
• Archive the file within the Legal Services.