1. Getting it right: Responding effectively to FOI requests
Paul Mutch
13 February 2017

2. Responding to requests
Firstly, we’re going to look at responses to requests.
Customer care is really important when dealing with FOI. There’s no getting away from the fact that FOI is a formal, legal process, but it’s important not to forget that it’s also about engagement with your service users, the public and the media.
We see a lot of cases where a little customer care could have gone a long way to helping both requesters and authorities. The legislation recognises this to a certain extent, by placing a duty on public authorities to advise and assist requesters and would-be requesters, but it doesn’t end there.
With a bit of extra customer care when the request is received, an authority can have a good chance of preventing an appeal to the Commissioner. Here are a few examples, which might give you some ideas of things you could do to make life easier in the long run.

3. (1) Interpreting the request
THE PROBLEM
Authority unclear what information is being asked for
EXAMPLE
Mr Q and Police Scotland (296/2013): Police misinterpreted request, leading to information being withheld when what the requester wanted was already published
SOLUTION
Contact requester when request received if request unclear or ambiguous

4. (2) Information not held
THE PROBLEM
The requester thinks the authority is hiding information from them
EXAMPLE
Refusal notice simply says “information not held”
SOLUTION
Explain why you don’t hold the information, what searches have been carried out, what information you do hold, and where the requester might be able to get other information

5. (3) Excessive costs THE PROBLEM
The authority doesn’t need to comply with the request because it would cost more than £600 to comply
EXAMPLE
Alan Laing and the Scottish Ministers (194/2013): wide ranging request; Ministers failed to discuss how to bring request within £600 limit
SOLUTION
Explain how costs have been estimated; talk to requester about how they can narrow the scope of their request to bring it within the £600 limit

6. Reasons for appeal Not recognising an information request
Refusing to respond to a request not sent to the FOI staff
Refusal notice doesn’t comply with FOI
Failing to apply the public interest test
Not applying all the tests in an exemption
Environmental information requests dealt with under FOI
Failure to provide advice and assistance
Applying exemptions to information not held

7. Remember the duty to
advise and assist

8. Apply the tests carefully

9. Communication is key

10. Record keeping Discussions with the requester
Searches carried out: what, where, when, who – and what were the results?
Cost calculations
What was disclosed or withheld – and why?

11. FOI staff FOI staff need ‘clout’ Staff cover Staff training
Logging, tracking and monitoring systems for requests

12. Carrying out reviews

13. Section 60 Code: reviews
It is important that authorities put in place appropriate and accessible procedures for handling reviews. The review procedure should be fair and impartial and it should enable different decisions to be made.

14. Issues at review stage Failing to recognise a request for review
Only three options open at review
Failing to notify requester of right to appeal to Commissioner and Court of Session
Reviews not sufficiently independent or robust
Late reviews

15. Appeals to the Commissioner

16. Pain free appeals Good records keeping Comment on the application
Onus is on you to satisfy SIC you complied
Resolution possible
Pick up the phone

17. Proactive Publication

22. Why should we publish information?
Statutory duty
FOI efficiency
Business efficiency
Trust

24. Further information Contact us Scottish Information Commissioner
Kinburn Castle
Doubledykes Road
St Andrews
KY16 9DS T: E: W: