REQUEST REQUEST OUTCOMESOUTCOMES

Aubrey Bodden, Acting Policy AnalystAubrey Bodden, Acting Policy AnalystFreedom of Information UnitFreedom of Information Unit

IM Network MeetingIM Network Meeting25 November 200925 November 2009

FOI Circular #8FOI Circular #8Request OutcomesRequest Outcomes

Among other duties, Among other duties, Information Managers respond Information Managers respond to and make decisions on FOI to and make decisions on FOI requests. You must be aware requests. You must be aware of and consider:of and consider:

– All possible outcomesAll possible outcomes– What each outcome really meansWhat each outcome really means– The substance of the request The substance of the request – All information in each individual All information in each individual

record that has been requested record that has been requested

Your Duty as Information Your Duty as Information Manager Manager

Granted in FullGranted in Full Granted in PartGranted in Part ExemptExempt ExcludedExcluded DeferredDeferred RefusedRefused (Public Domain)(Public Domain) No Records FoundNo Records Found Administrative ClosureAdministrative Closure

Possible Request OutcomesPossible Request Outcomes

Granted in FullGranted in Full

USEUSE this outcome if you will: this outcome if you will:

– grant full access to grant full access to allall of the information of the information that the applicant asked forthat the applicant asked for

– grant full access, to grant full access, to allall information that information that is or may be relevant to the requestis or may be relevant to the request

– grant full access to grant full access to allall of the records of the records that you are releasing in response to the that you are releasing in response to the requestrequest

– fully answer fully answer allall of the applicant’s of the applicant’s requestrequest

Granted in Full ctd.Granted in Full ctd. Information can only be redacted or Information can only be redacted or

withheld if it is exempted or excludedwithheld if it is exempted or excluded under the FOI Lawunder the FOI Law

Applicants will not always know Applicants will not always know what to ask for or how to ask for itwhat to ask for or how to ask for it

If a request is for specific information If a request is for specific information that you do not hold, you may still be that you do not hold, you may still be able to grant the request in full using able to grant the request in full using another record or set of records that another record or set of records that you do hold you do hold

Granted in Full ctd.Granted in Full ctd. Communication with the applicant is Communication with the applicant is

always the best way to understand always the best way to understand what he or she really wants and how what he or she really wants and how to satisfy the requestto satisfy the request

Contact the applicant to Contact the applicant to refine the terms of a refine the terms of a request if necessaryrequest if necessary– Discuss what records you Discuss what records you

DO hold and how they can DO hold and how they can answer the requestanswer the request Confirm any changes Confirm any changes

in writing! in writing!

I would like to see I would like to see copies of copies of any complaints made any complaints made by any of by any of my colleagues my colleagues that have been that have been placed in placed in my personnel file.my personnel file.

Granted in Full ctd.Granted in Full ctd.

Sample request Sample request #1#1

Sample request #2Sample request #2

How much did it cost over the last How much did it cost over the last five years to maintain the vehicles five years to maintain the vehicles that your public authority owns?that your public authority owns?

Granted in Full ctd.Granted in Full ctd.

Incorrect Use of “Granted in Incorrect Use of “Granted in Full” – JADE ExamplesFull” – JADE Examples

Granted in PartGranted in Part USEUSE this outcome if you will: this outcome if you will:

– release release somesome records but withhold others records but withhold others

– redactredact information from a disclosed record information from a disclosed record

– withholdwithhold sections of a disclosed record sections of a disclosed record

– not respond to the not respond to the entiretyentirety of the request 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.

Granted in Part ctd.Granted in Part ctd.

Sample requestSample request

I recently interviewed for a job with I recently interviewed for a job with your public authority and your public authority and want to know why I want to know why I wasn’t hired. wasn’t hired.

Incorrect Use of “Granted in Incorrect Use of “Granted in Part” – JADE ExamplesPart” – JADE Examples

ExemptExempt USEUSE this outcome if you will: this outcome if you will:

– not disclose not disclose anyany of the requested of the requested informationinformation

– cite a section of cite a section of Part IIIPart III of the FOI Law of the FOI Law

– proveprove that a particular fact or situation that a particular fact or situation exists that makes the information exemptexists that makes the information exempt

– show that it is show that it is not in the public interestnot in the public interest to to release the record if the PIT appliesrelease the record if the PIT applies

Exempt ctd.Exempt ctd. Exemptions Exemptions allow allow public authorities public authorities

to keep records confidential to keep records confidential

Exemptions do not Exemptions do not requirerequire non-disclosure non-disclosure

Most exemptions are subject to the public Most exemptions are subject to the public interest test and an exempt record must be interest test and an exempt record must be disclosed if it would be in the public interestdisclosed if it would be in the public interest

If the factors favouring disclosure and those If the factors favouring disclosure and those favouring non-disclosure are equal, the favouring non-disclosure are equal, the doubt shall be resolved in favour of doubt shall be resolved in favour of disclosuredisclosure

Incorrect Use of “Exempt” – Incorrect Use of “Exempt” – JADE ExamplesJADE Examples

ExcludedExcluded USEUSE this outcome if you decide: this outcome if you decide:

– the requested record is specifically the requested record is specifically excluded in excluded in section 3section 3 of the FOI Law of the FOI Law

– another lawanother law restricts access to the restricts access to the requested record, or classifies the requested record, or classifies the information as secretinformation as secret

– the FOI Law the FOI Law wholly does not applywholly does not apply

– you, you, as Information Manageras Information Manager, are , are unableunable to to make a decision on access make a decision on access

– you you cannotcannot disclose the record disclose the record under FOIunder FOI

Excluded ctd.Excluded ctd. s. 3(1) and s. 3(5) list specific s. 3(1) and s. 3(5) list specific

exclusions for certain records held by exclusions for certain records held by or about or about – the judiciarythe judiciary– security or intelligence servicessecurity or intelligence services– the UK Governmentthe UK Government– the National Archives the National Archives – the Monetary Authoritythe Monetary Authority– directors, officers and shareholders of directors, officers and shareholders of

an exempted companyan exempted company

Excluded ctd.Excluded ctd. s. 3(7) states that the FOI Law explicitly s. 3(7) states that the FOI Law explicitly

does not abrogate provisions of any does not abrogate provisions of any other law that restrict access to recordsother law that restrict access to records– Check all laws and regulations that are applicable to Check all laws and regulations that are applicable to

your public authority to see if any restrict access to your public authority to see if any restrict access to records or disclosure of informationrecords or disclosure of information

DeferredDeferred USEUSE this outcome if you will: this outcome if you will:

– grant full accessgrant full access to the requested record to the requested record at a specified at a specified later datelater date because because

the record will be published within a the record will be published within a particular period as required by lawparticular period as required by law

the record was prepared for presentation to the record was prepared for presentation to the LA or another person or bodythe LA or another person or body

premature release is contrary to the public premature release is contrary to the public interestinterest

RefusedRefused USEUSE this outcome if: this outcome if:

– You will not You will not complycomply with a request with a request at allat all, , and will not give a formal decision and will not give a formal decision on on accessaccess The request is vexatious (not the applicant!)The request is vexatious (not the applicant!) You recently complied with a You recently complied with a

substantially similar request substantially similar request from the same personfrom the same person

Compliance would unreasonably Compliance would unreasonably divert your public authority’s divert your public authority’s resources (not yours!)resources (not yours!)

– Scope not narrowed by applicantScope not narrowed by applicant

The information is already The information is already available in the public domainavailable in the public domain

Incorrect Use of “Refused” – Incorrect Use of “Refused” – JADE ExamplesJADE Examples

Did not ask for a narrower scope

Public DomainPublic Domain Requests for information that is in the Requests for information that is in the

public domain should public domain should NOTNOT be handled as be handled as FOI requests and should FOI requests and should NOTNOT be entered be entered in JADEin JADE

USEUSE this outcome if a request this outcome if a request has been has been processedprocessed under FOIunder FOI but the information but the information is:is:

– proactively publishedproactively published

– readily available to any person readily available to any person

– obtainable at no cost or for a feeobtainable at no cost or for a fee

Public Domain ctd.Public Domain ctd. You You are notare not required to comply with a required to comply with a

request under FOI procedures if the request under FOI procedures if the information is in the public domaininformation is in the public domain

If you handle the query as an FOI If you handle the query as an FOI request, you are required to notify the request, you are required to notify the applicant in writing where the records applicant in writing where the records are held and how to obtain accessare held and how to obtain access– You may include copies of requested You may include copies of requested

records with your decision, but this is not records with your decision, but this is not mandatorymandatory

Public Domain ctd.Public Domain ctd. If a requested record is only availableIf a requested record is only available

– To certain peopleTo certain people– Under certain circumstancesUnder certain circumstances– In particular formatsIn particular formats– For a specified feeFor a specified fee

these records should be accessed these records should be accessed under relevant policies and under relevant policies and procedures and the FOI request files procedures and the FOI request files administratively closedadministratively closed

Correct Use of “Public Correct Use of “Public Domain” – JADE ExamplesDomain” – JADE Examples

Incorrect Use of “Public Incorrect Use of “Public Domain” – JADE ExamplesDomain” – JADE Examples

No Records FoundNo Records Found USEUSE this outcome if: this outcome if:

– you are you are unable to locateunable to locate responsive recordsresponsive records

no records foundno records found

– your public authority your public authority holds holds no no responsive records responsive records

no records existno records exist

No Records Found – No Records Found – No Records FoundNo Records Found

Information Managers are only able Information Managers are only able to release information that they can to release information that they can findfind– Sometimes records are unfortunately Sometimes records are unfortunately

lostlost– You must make a reasonable effort to You must make a reasonable effort to

locate a record that is the subject of an locate a record that is the subject of an FOI requestFOI request

– If you are unable to locate a record you If you are unable to locate a record you must detail the efforts mademust detail the efforts made

No Records Found – No Records Found – No Records ExistNo Records Exist

FOI applies to records, and FOI applies to records, and sometimes, no records exist at your sometimes, no records exist at your public authority that can answer an public authority that can answer an applicant’s queryapplicant’s query

– You are not required to create You are not required to create information in order to respond information in order to respond to FOI requests to FOI requests

– If another public authority holds If another public authority holds relevant records the request relevant records the request must be transferred must be transferred

No Records Found ctd.No Records Found ctd. Remember!Remember! If a request has been If a request has been

phrased such that you do not hold the phrased such that you do not hold the record, but can respond with other record, but can respond with other records, then you have responsive records, then you have responsive recordsrecords

Remember!Remember! If an applicant’s request If an applicant’s request cannot be answered with records at all, cannot be answered with records at all, it may not be an FOI requestit may not be an FOI request

Remember!Remember! If you create a record to If you create a record to respond to an FOI request it must be respond to an FOI request it must be managed in accordance with the NAPRLmanaged in accordance with the NAPRL

No Records Found ctd.No Records Found ctd.

Sample request:Sample request:

I would like to know about public I would like to know about public authorities that are currently renting authorities that are currently renting office space. I am requesting from office space. I am requesting from each public authority a record that each public authority a record that contains the following information:contains the following information:– The location being rentedThe location being rented– Square footage of the space being rentedSquare footage of the space being rented– The cost per square foot per monthThe cost per square foot per month– Date of expiration of the lease agreementDate of expiration of the lease agreement

Correct Use of “No Records Correct Use of “No Records Found” – JADE ExamplesFound” – JADE Examples

Incorrect Use of “No Records Incorrect Use of “No Records Found” – JADE ExamplesFound” – JADE Examples

Administrative Administrative ClosureClosure

USEUSE this outcome if: this outcome if:– The information is otherwise availableThe information is otherwise available– The query can be answered outside of FOIThe query can be answered outside of FOI– The application has been withdrawnThe application has been withdrawn

ExplicitlyExplicitly Implicitly – lack of clarificationImplicitly – lack of clarification Implicitly – records not retrievedImplicitly – records not retrieved

– The applicant refuses to pay fees due and The applicant refuses to pay fees due and has not made an appointment to inspecthas not made an appointment to inspect

– A JADE entry is a duplicate request or was A JADE entry is a duplicate request or was accidentally inputted in the systemaccidentally inputted in the system

Administrative Closure – Administrative Closure – Information Otherwise Information Otherwise

AvailableAvailables. 6(4): Where a record is -s. 6(4): Where a record is -

(a) open to access by the public pursuant (a) open to access by the public pursuant to any other enactment as part of a to any other enactment as part of a public register or otherwise; orpublic register or otherwise; or

(b) available for purchase by the public in (b) available for purchase by the public in accordance with administrative accordance with administrative procedures established for that purpose,procedures established for that purpose,

access to that record shall be obtained access to that record shall be obtained inin

accordance with the provisions of thataccordance with the provisions of thatenactment or those procedures.enactment or those procedures.

Administrative Closure – Administrative Closure – Information Otherwise Available Information Otherwise Available

ctd.ctd. Information is routinely made available Information is routinely made available

by Government, though it may be by Government, though it may be limited to certain people or formats and limited to certain people or formats and fees may applyfees may apply

FOI FOI supplementssupplements and and complementscomplements these these existing statutory and existing statutory and administrative administrative arrangements that allow arrangements that allow access to informationaccess to information

Administrative Closure – Administrative Closure – Information Otherwise Available Information Otherwise Available

ctd.ctd.

You should be aware of You should be aware of all laws and policies all laws and policies which allow access to which allow access to information held by your information held by your public authority, and public authority, and how such access is granted how such access is granted

Administrative Closure – Administrative Closure – Information Otherwise Available Information Otherwise Available

ctd.ctd. For example, requests for records in For example, requests for records in

your publication scheme should be your publication scheme should be accessed according to the provisions of accessed according to the provisions of that schemethat scheme

In any case, you must still inform the In any case, you must still inform the applicant of how to access the applicant of how to access the informationinformation

Administrative Closure – Query Administrative Closure – Query Answered Outside of FOIAnswered Outside of FOI

FOI FOI should not bureaucratiseshould not bureaucratise the the routine release of informationroutine release of information

Release information without Release information without FOI procedures if it could FOI procedures if it could have been done before FOI have been done before FOI

Even if an individual submits the query Even if an individual submits the query as an FOI request you can give him or as an FOI request you can give him or her the requested information outside her the requested information outside of FOIof FOI

Administrative Closure – Administrative Closure – Withdrawn by Applicant Withdrawn by Applicant

(Explicitly)(Explicitly) An applicant may withdraw a request An applicant may withdraw a request

after you have begun processing it in after you have begun processing it in accordance with FOIaccordance with FOI

Always receive written confirmation Always receive written confirmation of withdrawal from the applicantof withdrawal from the applicant

It does not matter why this is doneIt does not matter why this is done

Administrative Closure – Administrative Closure – Withdrawn by Applicant Withdrawn by Applicant

(Implicitly)(Implicitly) Lack of clarificationLack of clarification

– You must make reasonable efforts to You must make reasonable efforts to contact the applicant and provide contact the applicant and provide a fair deadline to respond a fair deadline to respond

– You must inform the You must inform the applicant of when you will applicant of when you will be closing the request be closing the request

– If the applicant reformulates the request If the applicant reformulates the request at a later date it must be dealt with as a at a later date it must be dealt with as a new request with a new manual file, new request with a new manual file, JADE entry, request number and timelineJADE entry, request number and timeline

Administrative Closure – Administrative Closure – Withdrawn by Applicant Withdrawn by Applicant

(Implicitly)(Implicitly) Records not accessed or retrievedRecords not accessed or retrieved

– The original decision stands The original decision stands – Files should be administratively closed Files should be administratively closed

without details of record deliverywithout details of record delivery– Note that records may be inspected or Note that records may be inspected or

retrieved at a later dateretrieved at a later date– You do not need to inform the applicant if You do not need to inform the applicant if

you gave clear instructions on how to access the you gave clear instructions on how to access the recordsrecords

– If the applicant retrieves or inspects the records at a If the applicant retrieves or inspects the records at a later date you should not create a new JADE entrylater date you should not create a new JADE entry Inspection or delivery should be noted in the original manual Inspection or delivery should be noted in the original manual

filefile

Administrative Closure – Non-Administrative Closure – Non-Payment of FeesPayment of Fees

Fees must be reasonable and in Fees must be reasonable and in accordance with Schedule 3 of the FOI accordance with Schedule 3 of the FOI (General) Regulations, 2008(General) Regulations, 2008

The applicant may change form of The applicant may change form of accessaccess

The Information The Information Manager or Chief Officer Manager or Chief Officer may waive fees in full or may waive fees in full or in part at their discretion in part at their discretion or at the request of the or at the request of the applicantapplicant

Administrative Closure – Non-Administrative Closure – Non-Payment of Fees ctd.Payment of Fees ctd.

The original outcome stands as it was The original outcome stands as it was communicated to the applicantcommunicated to the applicant

The manual file and JADE entry should The manual file and JADE entry should both be administratively closedboth be administratively closed

You are encouraged to You are encouraged to keep fees to an absolute keep fees to an absolute minimum and waive them minimum and waive them wherever possible to not wherever possible to not limit access to informationlimit access to information

Correct Use of Correct Use of “Administrative Closure” – “Administrative Closure” –

JADE ExamplesJADE Examples

REMEMBERREMEMBER Information Managers have many Information Managers have many

resources available to help make each resources available to help make each decision, please use them!decision, please use them!

Think carefully about your decision Think carefully about your decision and ensure that the outcome you are and ensure that the outcome you are selecting is correct and accurately selecting is correct and accurately reflects your response to the request reflects your response to the request and disclosure of information to the and disclosure of information to the applicantapplicant

If you are in doubt, unsure or have If you are in doubt, unsure or have questions, contact the FOI Unit! questions, contact the FOI Unit!

The FOI Application The FOI Application ChecklistChecklist

Thank You!Thank You!

Any Questions?Any Questions?