1. REQUEST OUTCOMES Aubrey Bodden, Acting Policy Analyst Freedom of Information Unit IM Network Meeting 25 November 2009

2. FOI Circular #8 Request Outcomes

3. Among other duties, Information Managers respond to and make decisions on FOI requests. You must be aware of and consider: Among other duties, Information Managers respond to and make decisions on FOI requests. You must be aware of and consider: –All possible outcomes –What each outcome really means –The substance of the request –All information in each individual record that has been requested Your Duty as Information Manager

4. Granted in Full Granted in Full Granted in Part Granted in Part Exempt Exempt Excluded Excluded Deferred Deferred Refused Refused (Public Domain) (Public Domain) No Records Found No Records Found Administrative Closure Administrative Closure Possible Request Outcomes

5. Granted in Full Granted in Full USE this outcome if you will: USE this outcome if you will: –grant full access to all of the information that the applicant asked for –grant full access, to all information that is or may be relevant to the request –grant full access to all of the records that you are releasing in response to the request –fully answer all of the applicant’s request

6. Granted in Full ctd. Information can only be redacted or withheld if it is exempted or excluded under the FOI Law Information can only be redacted or withheld if it is exempted or excluded under the FOI Law Applicants will not always know what to ask for or how to ask for it Applicants will not always know what to ask for or how to ask for it If a request is for specific information that you do not hold, you may still be able to grant the request in full using another record or set of records that you do hold If a request is for specific information that you do not hold, you may still be able to grant the request in full using another record or set of records that you do hold

7. Granted in Full ctd. Communication with the applicant is always the best way to understand what he or she really wants and how to satisfy the request Communication with the applicant is always the best way to understand what he or she really wants and how to satisfy the request Contact the applicant to refine the terms of a request if necessary Contact the applicant to refine the terms of a request if necessary –Discuss what records you DO hold and how they can answer the request  Confirm any changes in writing!

8. I would like to see copies of any complaints made by any of my colleagues that have been placed in my personnel file. I would like to see copies of any complaints made by any of my colleagues that have been placed in my personnel file. Granted in Full ctd. Sample request #1

9. Sample request #2 How much did it cost over the last five years to maintain the vehicles that your public authority owns? How much did it cost over the last five years to maintain the vehicles that your public authority owns? Granted in Full ctd.

10. Incorrect Use of “Granted in Full” – JADE Examples

11. Granted in Part USE this outcome if you will: USE this outcome if you will: –release some records but withhold others –redact information from a disclosed record –withhold sections of a disclosed record –not respond to the entirety of the request Remember: You must have a valid reason under the FOI Law to not grant full access to requested records. Information cannot be redacted or withheld from a disclosed record because it is irrelevant to the request.

12. Granted in Part ctd. Sample request I recently interviewed for a job with your public authority and want to know why I wasn’t hired. I recently interviewed for a job with your public authority and want to know why I wasn’t hired.

13. Incorrect Use of “Granted in Part” – JADE Examples

14. Exempt USE this outcome if you will: USE this outcome if you will: –not disclose any of the requested information –cite a section of Part III of the FOI Law –prove that a particular fact or situation exists that makes the information exempt –show that it is not in the public interest to release the record if the PIT applies

15. Exempt ctd. Exemptions allow public authorities to keep records confidential Exemptions allow public authorities to keep records confidential Exemptions do not require non-disclosure Exemptions do not require non-disclosure Most exemptions are subject to the public interest test and an exempt record must be disclosed if it would be in the public interest Most exemptions are subject to the public interest test and an exempt record must be disclosed if it would be in the public interest If the factors favouring disclosure and those favouring non-disclosure are equal, the doubt shall be resolved in favour of disclosure If the factors favouring disclosure and those favouring non-disclosure are equal, the doubt shall be resolved in favour of disclosure

16. Incorrect Use of “Exempt” – JADE Examples

17. Excluded USE this outcome if you decide: USE this outcome if you decide: –the requested record is specifically excluded in section 3 of the FOI Law –another law restricts access to the requested record, or classifies the information as secret –the FOI Law wholly does not apply –you, as Information Manager, are unable to make a decision on access –you cannot disclose the record under FOI

18. Excluded ctd. s. 3(1) and s. 3(5) list specific exclusions for certain records held by or about s. 3(1) and s. 3(5) list specific exclusions for certain records held by or about –the judiciary –security or intelligence services –the UK Government –the National Archives –the Monetary Authority –directors, officers and shareholders of an exempted company

19. Excluded ctd. s. 3(7) states that the FOI Law explicitly does not abrogate provisions of any other law that restrict access to records s. 3(7) states that the FOI Law explicitly does not abrogate provisions of any other law that restrict access to records –Check all laws and regulations that are applicable to your public authority to see if any restrict access to records or disclosure of information

20. Deferred USE this outcome if you will: USE this outcome if you will: –grant full access to the requested record at a specified later date because  the record will be published within a particular period as required by law  the record was prepared for presentation to the LA or another person or body  premature release is contrary to the public interest

21. Refused USE this outcome if: USE this outcome if: –You will not comply with a request at all, and will not give a formal decision on access  The request is vexatious (not the applicant!)  You recently complied with a substantially similar request from the same person  Compliance would unreasonably divert your public authority’s resources (not yours!) –Scope not narrowed by applicant  The information is already available in the public domain

22. Incorrect Use of “Refused” – JADE Examples Did not ask for a narrower scope

23. Public Domain Requests for information that is in the public domain should NOT be handled as FOI requests and should NOT be entered in JADE Requests for information that is in the public domain should NOT be handled as FOI requests and should NOT be entered in JADE USE this outcome if a request has been processed under FOI but the information is: USE this outcome if a request has been processed under FOI but the information is: –proactively published –readily available to any person –obtainable at no cost or for a fee

24. Public Domain ctd. You are not required to comply with a request under FOI procedures if the information is in the public domain You are not required to comply with a request under FOI procedures if the information is in the public domain If you handle the query as an FOI request, you are required to notify the applicant in writing where the records are held and how to obtain access If you handle the query as an FOI request, you are required to notify the applicant in writing where the records are held and how to obtain access –You may include copies of requested records with your decision, but this is not mandatory

25. Public Domain ctd. If a requested record is only available If a requested record is only available –To certain people –Under certain circumstances –In particular formats –For a specified fee these records should be accessed under relevant policies and procedures and the FOI request files administratively closed

26. Correct Use of “Public Domain” – JADE Examples

27. Incorrect Use of “Public Domain” – JADE Examples

28. No Records Found USE this outcome if: USE this outcome if: –you are unable to locate responsive records  no records found –your public authority holds no responsive records  no records exist

29. No Records Found – No Records Found Information Managers are only able to release information that they can find Information Managers are only able to release information that they can find –Sometimes records are unfortunately lost –You must make a reasonable effort to locate a record that is the subject of an FOI request –If you are unable to locate a record you must detail the efforts made

30. No Records Found – No Records Exist FOI applies to records, and sometimes, no records exist at your public authority that can answer an applicant’s query FOI applies to records, and sometimes, no records exist at your public authority that can answer an applicant’s query –You are not required to create information in order to respond to FOI requests –If another public authority holds relevant records the request must be transferred

31. No Records Found ctd. Remember! If a request has been phrased such that you do not hold the record, but can respond with other records, then you have responsive records Remember! If a request has been phrased such that you do not hold the record, but can respond with other records, then you have responsive records Remember! If an applicant’s request cannot be answered with records at all, it may not be an FOI request Remember! If an applicant’s request cannot be answered with records at all, it may not be an FOI request Remember! If you create a record to respond to an FOI request it must be managed in accordance with the NAPRL Remember! If you create a record to respond to an FOI request it must be managed in accordance with the NAPRL

32. No Records Found ctd. Sample request: I would like to know about public authorities that are currently renting office space. I am requesting from each public authority a record that contains the following information: I would like to know about public authorities that are currently renting office space. I am requesting from each public authority a record that contains the following information: –The location being rented –Square footage of the space being rented –The cost per square foot per month –Date of expiration of the lease agreement

33. Correct Use of “No Records Found” – JADE Examples

34. Incorrect Use of “No Records Found” – JADE Examples

35. Administrative Closure USE this outcome if: USE this outcome if: –The information is otherwise available –The query can be answered outside of FOI –The application has been withdrawn  Explicitly  Implicitly – lack of clarification  Implicitly – records not retrieved –The applicant refuses to pay fees due and has not made an appointment to inspect –A JADE entry is a duplicate request or was accidentally inputted in the system

36. Administrative Closure – Information Otherwise Available s. 6(4): Where a record is - (a) open to access by the public pursuant to any other enactment as part of a public register or otherwise; or (b) available for purchase by the public in accordance with administrative procedures established for that purpose, access to that record shall be obtained in accordance with the provisions of that enactment or those procedures.

37. Administrative Closure – Information Otherwise Available ctd. Information is routinely made available by Government, though it may be limited to certain people or formats and fees may apply Information is routinely made available by Government, though it may be limited to certain people or formats and fees may apply FOI supplements and complements these existing statutory and administrative arrangements that allow access to information FOI supplements and complements these existing statutory and administrative arrangements that allow access to information

38. Administrative Closure – Information Otherwise Available ctd. You should be aware of all laws and policies which allow access to information held by your public authority, and how such access is granted You should be aware of all laws and policies which allow access to information held by your public authority, and how such access is granted

39. Administrative Closure – Information Otherwise Available ctd. For example, requests for records in your publication scheme should be accessed according to the provisions of that scheme For example, requests for records in your publication scheme should be accessed according to the provisions of that scheme In any case, you must still inform the applicant of how to access the information In any case, you must still inform the applicant of how to access the information

40. Administrative Closure – Query Answered Outside of FOI FOI should not bureaucratise the routine release of information FOI should not bureaucratise the routine release of information Release information without FOI procedures if it could have been done before FOI Release information without FOI procedures if it could have been done before FOI Even if an individual submits the query as an FOI request you can give him or her the requested information outside of FOI Even if an individual submits the query as an FOI request you can give him or her the requested information outside of FOI

41. Administrative Closure – Withdrawn by Applicant (Explicitly) An applicant may withdraw a request after you have begun processing it in accordance with FOI An applicant may withdraw a request after you have begun processing it in accordance with FOI Always receive written confirmation of withdrawal from the applicant Always receive written confirmation of withdrawal from the applicant It does not matter why this is done It does not matter why this is done

42. Administrative Closure – Withdrawn by Applicant (Implicitly) Lack of clarification Lack of clarification –You must make reasonable efforts to contact the applicant and provide a fair deadline to respond –You must inform the applicant of when you will be closing the request –If the applicant reformulates the request at a later date it must be dealt with as a new request with a new manual file, JADE entry, request number and timeline

43. Administrative Closure – Withdrawn by Applicant (Implicitly) Records not accessed or retrieved Records not accessed or retrieved –The original decision stands –Files should be administratively closed without details of record delivery –Note that records may be inspected or retrieved at a later date –You do not need to inform the applicant if you gave clear instructions on how to access the records –If the applicant retrieves or inspects the records at a later date you should not create a new JADE entry  Inspection or delivery should be noted in the original manual file

44. Administrative Closure – Non- Payment of Fees Fees must be reasonable and in accordance with Schedule 3 of the FOI (General) Regulations, 2008 Fees must be reasonable and in accordance with Schedule 3 of the FOI (General) Regulations, 2008 The applicant may change form of access The applicant may change form of access The Information Manager or Chief Officer may waive fees in full or in part at their discretion or at the request of the applicant The Information Manager or Chief Officer may waive fees in full or in part at their discretion or at the request of the applicant

45. Administrative Closure – Non- Payment of Fees ctd. The original outcome stands as it was communicated to the applicant The original outcome stands as it was communicated to the applicant The manual file and JADE entry should both be administratively closed The manual file and JADE entry should both be administratively closed You are encouraged to keep fees to an absolute minimum and waive them wherever possible to not limit access to information You are encouraged to keep fees to an absolute minimum and waive them wherever possible to not limit access to information

46. Correct Use of “Administrative Closure” – JADE Examples

47. REMEMBER Information Managers have many resources available to help make each decision, please use them! Information Managers have many resources available to help make each decision, please use them! Think carefully about your decision and ensure that the outcome you are selecting is correct and accurately reflects your response to the request and disclosure of information to the applicant Think carefully about your decision and ensure that the outcome you are selecting is correct and accurately reflects your response to the request and disclosure of information to the applicant If you are in doubt, unsure or have questions, contact the FOI Unit! If you are in doubt, unsure or have questions, contact the FOI Unit!

48. The FOI Application Checklist

49. Thank You! Any Questions?