1 Introduction

This procedure details the steps to be taken when responding to a request for information from an external body or member of the public through the Freedom of Information Act 2000 (FOIA) hereafter known as “the Act”, or the Environmental Information Regulations 2004 (EIR) (“the Regulations”). It should be read in conjunction with the FOI & EIR Policy.

2 Aims and Purpose

The aims and purpose of this procedure is to:

Establish uniformity in practice in dealing with requests for information.
Ensure that the provisions of the Act and Regulations are adhered to.
Ensure that staff are aware of what action to take on receiving a request for information under the Act or Regulations.
Inform all staff of their responsibilities under the Act and Regulations should they be required to provide response information.
Facilitate the disclosure of information by setting out good administrative practices that the Service will follow when handling requests for information.

3 Requests for Information Under the Freedom of Information Act

Requestors can seek guidance from the Civil Disclosure Unit (CDU) at North Yorkshire Police (NYP) on how to develop a request for information. If a request lacks clarity the CDU team will seek additional information in order to process the request.

Flowcharts for dealing with and processing requests are detailed in Appendix A and B.

3.1 Responsible Section

The CDU Team are responsible for processing requests for information.

The requests are to be responded to promptly and in any event within 20 working days, counting the first working day after the request is received as the first day.

Other staff working within the Service may also receive a request for information. In such circumstances the member of staff must forward the request to the CDU Team by email to FRSDisclosure@northyorksfire.gov.uk within one working day, as the time allowed for complying with a request starts when the Service receives it, not when it gets to CDU.

If the application is in the form of a letter the original letter must date stamped and also sent to the CDU Team under confidential cover, in addition to the email copy.

The request may not specifically mention the Act however, any written request to the Service for information must initially be considered as a request under the Act.

3.2 Upon Receipt

Section 8 of the Act clearly states what constitutes a “valid” request:

“8. — (1) In this Act any reference to a “request for information” is a reference to such a request which—

(a) is in writing,

(b) states the name of the applicant and an address for correspondence, and

(2) For the purposes of subsection (1)(a), a request is to be treated as made in writing where the text of the request—

(a) is transmitted by electronic means,

(b) is received in legible form, and

The Service reserves the right to seek identification from the requester of information.

3.3 Initial Assessment

An initial assessment of the request will be made by the Legal Officer (FRS)to ensure that:

The request is valid;
The request is specific enough to enable information to be sourced;
Does not need any clarification (to the best of knowledge at that time) or;
The information requested is not obviously exempt from disclosure.

3.4 Log the Request

Upon receipt the CDU Team will log the request recording as much known detail as possible including:

A unique reference identifier
Date received by the Service
The “valid” request date
Name of the Applicant
Contact details of the Applicant
Information requested
Calculated Deadline Date

3.5 Acknowledgement

The Legal Officer (FRS) logging, will write to the Applicant (or email if the Applicant has written by email) to acknowledge that their request has been received and is being processed. A file record will be kept of this contact.

If the CDU Team have sufficient information to respond to the request, the letter of acknowledgement will inform the Applicant that their request will be processed within a maximum of 20 working days.

3.6 Clarification

Sometimes the Service receives unclear or ambiguous requests where it reasonably requires further information in order to identify and locate the requested information. This will trigger its duty under Section 16 of the Act to provide advice and assistance and it must contact the requester within 20 working days to ask for clarification.

However, the NYFRS should ensure that there is no undue delay in requesting clarification. This is emphasised in Part II paragraph 9 of the Section 45 Code of Practice which states,

‘..it is important that the applicant is contacted as soon as possible, preferably by telephone, fax or email, where more information is needed to clarify what is sought.’

When seeking clarification the Service should ensure that:

its only purpose is to make sure that it understands what information the requester wants;
it does not give the impression that the requester is obliged to explain their reasons for making the request; and,
the individual’s interest in the information is only taken into account if it helps to determine the scope of the request; it should not have any bearing on the Service’s response.

The clock stops in relation to the 20 working days response time until clarification has been provided, the CDU Team will close the request if no clarification has been provided within 20 working days.

3.7 Transferring the Request

If there is a reason to believe that some or all of the information requested is not held by the Service but is held with another public authority, consideration will be given as to what would be the most helpful way of assisting the applicant with their request.

In most cases this is likely to involve contacting the applicant and informing them that the information requested may be held by another public authority or suggesting that the applicant re-applies to the authority who may hold the information and providing them with contact details for that authority.

3.8 Collation of Response

The Legal Officer (FRS) Dealing will identify who holds (or is the most appropriate for dealing with) the information requested in the application and will contact the person, persons or relevant department as soon as possible.

Once this contact has been made the appropriate member of staff will have a maximum of 15 working days to locate and provide the information to the CDU Team. If for any reason it is not possible to meet this deadline the CDU Team must be contacted as soon as possible.

The response to include;

The requested information
Any additional information which might put the information being requested into context and provide additional assistance to the applicant.

In the event the member of staff does not forward the information to the CDU Team then the dealing Legal Officer (FRS)will inform the CDU Team Leader of the situation both verbally and in writing. The CDU Team Leader will then raise the issue with the appropriate manager in order to ensure receipt of the information required. If the CDU Team Leader is unable to secure the information required and, in the opinion of the CDU Team Leader a breach of the Act is likely to occur unless urgent action is taken, then CDU Team Leader will further escalate the matter to SIRO for resolution.

3.9 Consultation

If the information requested includes correspondence or information provided by a third party (for example, another public authority) it may be necessary to contact that organisation to seek their views on the disclosure.

It maybe that a disclosure of information cannot be made without the consent of a third party (for example, where information has been obtained from a third party and in the circumstances the disclosure of the information without their consent would constitute an actionable breach of confidence such that the exemption Section 41 of the Act would apply)

The communication with the consulted organisation should specify the document(s) considered for disclosure, and where necessary provide a copy of the information considered for disclosure.

Consultation may not be practicable, for example because the third party cannot be located or because the costs of consulting them would be disproportionate.

3.10 Application of Exemptions and Redactions

There are several exemptions which are designed to protect confidential or other information which can be used to refuse a request which may not be in the public interest to release. In these instances the Service will explain why an exemption has been applied. The full list of these exemptions can be found in Appendix C: Exceptions and Exemptions

Once collated the information for disclosure will be reviewed by the relevant Legal Officer (FRS) in respect of any exemptions before providing the information to the Applicant.

In certain cases, when deciding whether the information requested is exempt under the Act or when applying the public interest test, the Legal Officer (FRS) will seek advice from appropriate sources for example; the person/persons/department holding the information, the relevant Function Head, the Service’s solicitors, the SIRO or the Information Commissioner.

Where information is to be redacted it should be done so that the Applicant cannot remove or see beneath the blacked-out text (PDF Format). The Legal Officer (FRS) must thoroughly check any datasets to ensure personal data is not inappropriately disclosed.

3.11 Extensions to consider the public interest

The Service can claim a reasonable extension of time to the 20 working days, to consider the public interest test.

This can be applied if the Service anticipates that it;

requires more time to determine whether or not the balance of the public interest lies in maintaining an exemption; or
it needs further time to consider whether it would be in the public interest to confirm or deny whether the information is held

The additional time cannot be used to determine whether an exemption is engaged it only permits extensions for further consideration of public interest.

In accordance with ICO guidance, a reasonable extension would be an additional 20 working days, and an extension beyond this should be exceptional.

3.12 Refusal

A refusal to provide part or all of the information requested may be for any of the following reasons:

The information is exempt from disclosure;
The estimated cost of compliance exceeds the Appropriate Limit or;
it can be demonstrated that the request is vexatious or repeated.

If any of the above applies, the Service will inform of the reasons for this decision within twenty working days. The Applicant will also be informed of the appeals and complaints procedures and of their right to complain to the Information Commissioner.

If the Service anticipates that it requires more time to consider the public interest test, then the initial refusal letter will include the exemption that has been engaged and why. It will explain the Service requires more time to consider the public interest test and provide an estimated date for the final decision to be made.

If the Legal Officer (FRS) finds, whilst considering the public interest, that the estimate is proving unrealistic, the Applicant will be kept informed.

3.13 Providing the Information

If the applicant within the initial request expresses a preference for communication of the information by one or more of the following means;

A copy in permanent form or in another form acceptable to the Applicant,
The provision of a reasonable opportunity to inspect a record containing the information,
The provision of a digest or summary in permanent form or in another form acceptable to the Applicant.

The CDU so far as reasonable practical will give effect to that preference. If it is determined that it is not reasonably practical to comply with the preference, the applicant will be provided with a full explanation of why this determination has been reached.

3.14 Protection of Freedoms Act 2012

On the 1^st September 2013 Section 102 of the Protection of Freedoms Act 2012 altered section 11 of FOIA (means by which communication is to be made). Where a request is made for information which is a “Dataset” or forms part of a Dataset, and the Applicant requests that information be communicated in an electronic form, then the Service must, so far as is reasonably practicable, provide the information to the Applicant in an electronic format that is capable of re-use.

If the dataset is a relevant copyright work and then Service owns the intellectual property rights, the dataset will be provided under the terms of a specified license.

3.15 Re-use of Public Sector Information (Open Government License)

Having access to information does not give an automatic right to re-use it. The Re-use of Public Sector Information Regulations 2015 (RPSI) provides a framework for obtaining permission to re-use public sector information. Re-use means using public sector information, for a purpose other than the initial purpose it was produced for.

If the Service agrees that you can re-use it’s information you will be required to agree to the stated terms and conditions of re-use. The ‘Open Government License’ which offers the Service as copyright owners, a level of protection against information released from being manipulated and misconstrued, will be the preferred policy option for re-use and the Service will consider this first. The terms and conditions of re-use will be set out in the letter permitting re-use.

3.16 The Disclosure Log

The Disclosure Log is located on North Yorkshire Fire and Rescue Services website under Disclosure log – North Yorkshire Fire & Rescue Service (northyorksfire.gov.uk) and contains the anonymised responses to requests made under the Act that may be of interest to the public. The CDU Team will update the disclosure log. This will include datasets that have been requested.

3.17 Publication Scheme

The Service acknowledges that it must have a publication scheme which sets out:

The classes of information published, or intended to be published.
The manner in which publication is, or is intended to be made.
Whether the information is available free of charge or if payment is required.

The Publication Scheme documents are available on the service’s website. The Website, is reviewed monthly and updated when required. This can be found under Publication Scheme – North Yorkshire Fire & Rescue Service (northyorksfire.gov.uk).

It is the responsibility of the Function Heads to identify information that should be published and ensure that publication occurs.

3.18 Appeals and Complaints

Any appeals or complaints arising from requests for information under the Act will be dealt with in the first instance by the NYFRS Complaints Officer (CAO Manager & IG Officer), in accordance with the Complaints Procedure.

FAO: Civil Disclosure Unit

North Yorkshire Fire and Rescue Service Headquarters

Alverton Court

Crosby Road

Northallerton

North Yorkshire

DL6 1FE

Emailing: FRSDisclosure@northyorksfire.gov.uk

Or by fax: 01609 643526

The Service will attempt to resolve all issues arising from complaints. If the issue is not resolved to the satisfaction of the requestor, then the complaint can be referred to the Information Commissioners Office (ICO).

4 Requests for Information Under the Environmental Information Regulations

All requests for information under the Regulations will be dealt with as identified in the flow diagrams in Appendix D and Appendix E.

A request can be in any form and need not be in writing. However, for a response to be made the Service will need contact details to either provide the information or refuse the request.

The Service will respond as soon as possible and in any event within 20 working days, counting the first working day after the request is received as the first day.

If due to the complexity and volume of information requested it is not possible to provide the information within this time period, the requestor will be informed it will be 40 working days.

4.1 Clarifying the Request

Where the Applicant does not describe the information sought in a way which would enable the Service to identify or locate it, or the request is ambiguous, the Service will, as far as practicable, provide assistance to the Applicant to enable him or her to describe more clearly the information requested.

Regulation 9 makes it clear that the Applicant is contacted as soon as possible and no later than 20 working days, preferably by e-mail, where more information is needed to clarify what is sought. The Service also needs to explain why we are asking for additional information. The 20 day time limit stops running when a request for clarification is issued.

Care should be taken not to give the Applicant the impression that he or she is obliged to disclose the nature of his or her interest or that he or she will be treated differently if he or she does.

If, following the provision of such assistance, the Applicant is still unable to describe the information requested in a way that would enable the Service to identify and locate it, the Service is not expected to seek further clarification. The Service will disclose any information relating to the application that has been successfully identified and found that it can disclose. It will also explain to the Applicant why it cannot take the request any further and provide details of the Service ‘s complaints procedure.

4.2 Form and Format

Regulation 6 allows for the Applicant to be given the information available in a particular form or format unless there is another reasonable approach to supplying the information. The Service will be flexible, as far as is reasonable, with respect to form and format, taking into account the fact, for example, that some IT users may not be able to read attachments in certain formats, and that some members of the public may prefer paper to electronic copies.

If the information is not made available in the form or format requested, the Service will explain why.

Although there is no specific reference in the Regulations to the provision of information in the form of a summary or digest, a request for environmental information may include a request for information to be provided in the form of a digest or summary. This will generally be provided so long as it is reasonably practical to do so, taking into account the cost.

4.3 Timeliness in Dealing with Requests for Information

Requests for information must be responded to as soon as possible and no later than 20 working days. The 20 day time limit can be extended to 40 working days if the complexity and volume of the information requested means that the 20 working days deadline cannot be complied with. Unlike FOIA, there is no provision to further extend the time limit for cases where the public interest has to be balanced.

Public authorities are required to comply with all requests for information as soon as possible and they must not delay responding until the end of the 20 working day period under Regulation 5(2) if the information could reasonably have been provided earlier.

4.4 Charges

The Regulations do not require charges to be made but, the Service can make a reasonable charge for copies of information. However, if the Applicant wishes to examine the information at one of the offices of the Service, access to the information will be free of charge.

Where the Applicant indicates that he or she is not prepared to pay any charge requested, the Service will consider whether there is any information that may be of interest to the Applicant that is available free of charge.

The Regulations do not define a ‘reasonable’ amount of money or time that a public authority should spend on a request, or a linked series of requests from the same person or group – there is no legal equivalent to the ‘appropriate limit’ provided under the Freedom of Information Act.

To work out whether the costs of dealing with a request can be treated as manifestly unreasonable under Section 12(4)(b) of the Regulations, the Service will consider whether dealing with the request would place unreasonable demands on it’s resources. It will be necessary to apply the public interest test on these occasions.

4.5 Refusal of a Request

Where a request for information is refused or partially refused in accordance with an exception detailed in Appendix C, the Regulations require that the Service notify the Applicant which exception has been claimed and why that exception applies. The Service will state clearly in the decision letter the reason why we have decided to apply that exception in the case in question. The Regulations also requires the Service, when withholding information, to state the reasons for claiming that the public interest in maintaining the exception outweighs the public interest in disclosure.

4.6 Appeal and Complaints Procedures

All public authorities must have a review (of appeals & complaints) procedure in place. This procedure may be used by any person who considers that their request has not been properly handled or who are otherwise dissatisfied with the outcome of the consideration of their request and where the issue is such that it cannot be resolved informally in discussion with the CDU Team.

Any decision made in relation to a request under the Regulations that contains a refusal must be in writing and the Service is obliged under Regulations 14 (5) to notify the Applicant of his or her right of complaint including details of complaints procedure and the right to complain to the Information Commissioners under section 50 of the FOIA if he or she is still dissatisfied following the Service ‘s review.

Complaints are to be made in writing to the Service no later than 40 working days after the date on which the Applicant believes the Service has failed to comply with Regulation requirements.

In all cases, complaints need to be acknowledged and the complainant will be informed of the Service’s target date for determining the complaint. Where it is apparent that determination of the complaint will take longer than the target time (for example because of the complexity of the particular case), the Service will inform the Applicant and explain the reason for the delay.

Where the outcome of a complaint is that an initial decision to withhold information is upheld or is otherwise in the Service’s favour, the Applicant will be informed of his or her right to apply to the Information Commissioners and be given details of how to make an application for a decision on whether the request for information has been dealt with in accordance with the requirements of the Regulations.

5 Other Requests for Information

All requests for information will need to be assessed to see which way they should be processed under the relevant acts regardless of whether the requestor mentions them or not. There are four pathways the Service can take:

Handle the request as part of normal business;
Process under the EIR for access to environmental information;
Process under the DPA for access to personal information (which the Applicant is the subject);
Process under the FOI Act for access to all other information (subject to exemptions).

A flowchart is attached in Appendix F to assist staff in deciding which legislation to follow upon receipt of a request for information.

6 Review

The CDU Team, will review this procedure at least every two years, consulting with all parties involved and will be approved by Business Admin.

7 Legal and Professional Obligations

The Service will take actions as necessary to comply with all legal and professional obligations. For this policy the following legislation applies in particular:

8 Associated Documentation

This policy refers to the following policies:

This policy refers to the following guidance, including national and international standards:

published to this website 28 June 2024

Share: