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SCOTTISH EXECUTIVE FREEDOM OF INFORMATION (SCOTLAND) ACT 2002:OPEN LEARNING WORKBOOK

MODULE 9
DEALING WITH AND RESPONDING TO REQUESTS FOR INFORMATION; AND FEES - HOW SHOULD AN AUTHORITY HANDLE A REQUEST? PART 2

9.1 CONTENT AND LEARNING OBJECTIVES

This module builds on Modules 7 and 8 by looking at further material from the Act and the Section 60 Code.

NB: The material in this module reflects the terms of the draft section 60 code of practice. The code will be issued in finalised form in Spring 2004 following consultation with the Scottish Information Commissioner.

Once you have worked your way through this module you should understand what the Code advises on:

• Publication schemes
• Consultation with third parties and some general considerations on confidential information
• Monitoring requests

SUGGESTED TIME ALLOCATION: 1 hour

9.2 LEARNING MATERIALS

9.2.1 Publication schemes

The Section 60 Code gives the following advice on publication schemes:

• Routinely publish information in your publication scheme to reduce the number of individual requests.
• Consider keeping a log of requests to see which classes of information it may be appropriate to put into the scheme.
• The publication scheme should include details of the authority's procedures for handling requests.
• The publication scheme should include an address (including where possible an e-mail address) to which applicants may direct their request.
• A telephone number and fax number and name of an individual who can provide assistance should also be included.

9.2.2 Transferring requests for information

In some cases, when an authority receives a request, it may find that it does not hold the information. The Section 60 Code will advise that if an authority does not hold the requested information, the most appropriate course of action is to inform the applicant promptly that it does not hold the information.

However if a public authority is aware that another authority holds the information, the first authority should consider the most helpful way of assisting the applicant. It may be that an authority should provide the applicant with contact details of the new authority but only if the first authority has confirmed that the information is held by the new authority and seeking that confirmation does not delay the first authority in providing a response to the applicant.

If the applicant's request makes it clear that it should be transferred if the authority does not hold the information then the first authority will still need to confirm that the new authority does have the information and to inform the applicant that the transfer has been made.

If an authority holds most of the requested material and another authority the rest then the authority should think about coordinating one response to the applicant if this does not cause delay or additional costs.

Again, the draft Section 60 Code advises that transfers may be difficult to administer and may have data protection implications therefore the starting point will generally be to inform the applicant that information is not held and redirect them where appropriate.

9.2.3 Consultation with third parties and some general considerations on confidential information

An authority could be asked for information that it holds but that does not originate from it or that is not about it. For example information could have been provided by or relate to a private company such as a contractor. Such third parties may want their information to be protected but the Section 60 Code will advise authorities to consider carefully any request to have information covered by a confidentiality clause and resist this unless this genuinely is needed e.g. to protect a trade secret or sensitive personal information.

If a request for information involves third party information, the authority should consider consulting the third party where their views may help the authority to work out if an exemption applies or where the public interest lies.

An authority does not need to consult where it does not intend to disclose for some other legitimate reason; where the views of the third party would not affect its decision or where there is no possible exemption and so it is required to disclose.

A refusal of a third party to consent to disclosure does not, in the absence of anything else, mean that the information should be withheld.

There may be a need to consult with the UK government and non-devolved public bodies where information requested relates to them, again unless their views cannot affect the decision or consultation.

9.2.4 Monitoring requests

The Section 60 Code will suggest that there should be an appropriate system in each authority to monitor performance under the Act although monitoring all requests for information may be unnecessary.

Authorities should consider monitoring refusals and the reasons for the refusals; fees; reviews and outcomes; cases where the time limits have been exceeded and why.

9.4 SUMMARY

The section 60 Code will give advice on certain aspects of handling requests. This includes advice on what to put in publication schemes, what to consider when transferring requests and consulting with third parties and on monitoring requests.

9.5 KEYWORDS

None

9.6 REFERENCES

None

9.7 RESOURCES

Section 60 Code:
www.scotland.gov.uk/about/FCSD/MCG-NW/00018022/Code60.pdf

9.8 SELF ASSESSMENT CHECKLIST

1. Public authorities have a statutory obligation to comply with the section 60 Code of Practice in order to demonstrate their compliance with the Act. TRUE or FALSE ?

2. The Section 60 Code suggests that publication schemes should include the following:

• details of how requests are handled by the authority;
• an address to which requests for information should be directed;
• telephone and fax numbers of a named individual who can provide assistance; and
• details of how complaints can be made to the Parliamentary ombudsman.

TRUE or FALSE?

3. Where a request is made for information that is not held by an authority, that authority should inform the applicant promptly that it is unable to provide the information sought. TRUE or FALSE ?

4. Where an authority receives a request for information that it has received from a third party, it is not required to disclose the information if the third party objects. TRUE or FALSE?

Click here for answers

9.9 WHAT THEY SAID

"Several people seeking information about a local cause for concern is not the same as an aggressive campaign and should not be treated as such" (Maureen McMillan - MSP)

"…there seems to be an unwarranted concern that administrative staff would have to cope with a considerable element of bloody-mindedness" (Maureen McMillan - MSP)

"The person who seeks the information may be an eccentric with a bee in his bonnet, a man or woman with a grudge, or an opposition politician who wants to do down the government or council of the day. That does not matter. Public information is held by public authorities in trust for and on behalf of the people, from whom they draw their power" (Robert Brown - MSP)

9.10 CASE STUDY

Task

How difficult do you think it will be to respond to requests within 20 working days? What would you do if you realise that this is not possible?

Task

Does your organisation have a policy on openness? Do you know what it is? Have you ever encountered any problems connected with the disclosure of information in your organisation? What were they and what caused them? Can you think of any examples of attitudes or behaviour in your organisation which may lead to problems with rights of access?

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