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Handling

This module looks at how public authorities handle requests when considering section 12.

It includes consideration of what you can include when calculating the cost of compliance, the 'neither confirm nor deny' provision, aggregation of requests and handling refined requests.

Even though a public authority may be able to refuse a request under section 12 of FOIA, they still need to consider their obligations under the EIR and the DPA 2018.

Criteria

Good:

  • All relevant staff understand what costs they can include when estimating the cost of compliance.
  • All relevant staff understand when and how to use section 12(2).
  • All relevant staff understand when and how to aggregate two or more separate requests for information.
  • Estimates always include all relevant components.
  • All relevant staff know what to do when they can provide some, but not all, of the information within the appropriate limit.
  • All relevant staff know what to do if the requester refines their request.

Adequate:

  • Most relevant staff understand what costs they can include when estimating the cost of compliance.
  • Most relevant staff understand when and how to use section 12(2).
  • Most relevant staff understand when and how to aggregate two or more separate requests for information.
  • Estimates sometimes include all relevant components.
  • Most relevant staff know what to do when they can provide some, but not all, of the information within the appropriate limit.
  • Most relevant staff know what to do if the requester refines their request.

Unsatisfactory:

  • Relevant staff do not understand what costs they can include when estimating the cost of compliance.
  • Relevant staff do not understand when and how to use section 12(2).
  • Relevant staff do not understand when and how to aggregate two or more separate requests for information.
  • Estimates rarely include all relevant components.
  • Relevant staff do not know what to do when they can provide some, but not all, of the information within the appropriate limit.
  • Relevant staff do not know what to do if the requester refines their request.
1. The way in which a public authority recognises what to include when considering the cost of complying with a request for information is:
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The estimate must follow the rules in the Fees Regs. You cannot include staff time involved in redaction in the estimate. If the cost and resources required to review and redact any exempt information are likely to be so great as to place the organisation under a grossly oppressive burden, you may be able to consider the request under section 14(1) instead. However, you need to carefully assess whether it meets the high threshold required.

2. The way in which the public authority handles a request where determining if they hold the requested information would exceed the appropriate limit is:
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If a public authority estimates that it would exceed the appropriate limit to confirm whether or not they hold the requested information then, under section 12(2) of FOIA, they are not obliged to comply with the substance of the request.

3. The way in which the public authority identifies that they are dealing with 'two or more requests' is:
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When calculating the cost limit, public authorities can aggregate requests which ask for the same or similar information and are received within a 60 working day period. These requests can either be from the same person or a group of people acting together. Individual requests within one piece of correspondence can be grouped.

4. The way in which the public authority ensures their estimate includes input from all consulted business units is:
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Monitoring of responses ensures that all business units that were asked for input have responded on time.

5. The way in which the public authority interacts with the requester, and provides advice and assistance where appropriate, when it becomes aware that it intends to apply section 12 is:
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As a matter of good practice, public authorities should avoid providing the information found as a result of their searching and claiming section 12 for the remainder of the information. This denies the requester the right to express a preference as to which part or parts of the request they may wish to receive which the public authority can provide under the appropriate limit. Public authorities have a duty to provide advice and assistance to requesters to help them refocus their request and bring it within the cost limit.

6. The way in which the public authority handles a refined request is:
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If the requester refines their request to bring it within the cost for compliance, you should then deal with this as a new request. The time for you to comply with the new request is calculated the same as normal, ie starting from the day after the date of receipt.