Guidance on Handling EIR Requests
The Environmental Information Regulations (Scotland) [EIRs] came into force on 1st January 2005. EIRs are concerned with an individual's right of access to information ‘which relates to the environment’ which is held by the University. The Scottish Executive’s Section 62 Code of Practice on The Discharge of Functions by Scottish Public Authorities under the Environmental Information (Scotland) Regulations 2004 dealing with requests for environmental information provides best practice guidance on how to handle requests.
If the request concerns information about an individual then the Data Protection Act [DPA] may apply - see point 3 ‘Is the Request covered by DPA, FoISA or EIRs?’.
1. General Guidance
1.1 The Data Protection and Freedom of Information Office are available to give advice on any aspect of identifying and handling EIR Information Requests. Only the Data Protection and Freedom of Information Office should respond to an EIR Information Request. If you receive a request that you think may relate wholly, or in part, to the EIRs then you must contact the DP/FOI Office.
1.2 Written requests will, in the first instance, be handled under FOISA. If all, or some, of the information is deemed to be ‘environmental’ that request, or section of the request, will be dealt with under the EIRs. An appropriate S39 exemption notice will be issued to the applicant.
1.3 Verbal requests for environmental information will be handled under EIRs. Verbal requests for general information are unacceptable as requests under FOISA must be in a recorded format.
1.4 Requests received verbally should be transcribed as soon as possible after receipt to ensure accurate recording of the request. An address (postal or email) and name must be taken at the time of recording the request.
1.5 All EIR Information Requests must be handled 'applicant-blind' - that is, the processing of the information request must be processed without considering the identity of the applicant. The identity of the applicant must not be made known to colleagues unless (a) there is a valid reason, and (b) the issue has been cleared with your local FoISA coordinator or the Data Protection and Freedom of Information Office.
1.6 Exceptions to the release of information might apply. Advice on the use of an exception must be obtained from the Data Protection and Freedom of Information Office. Exceptions will only ever by applied by the DP/FOI Office as they respond to all EIR requests.
1.7 The response to any Information Request where an exception to release is required, including paragraph 10(4)(a) [Information Not Held] or paragraph 6(1)(b) [Information otherwise accessible], must be passed to, and handled by, the Data Protection and Freedom of Information Office.
1.8 The handling of an Information Request by the University may result, if the Applicant is not satisfied with either the way it is handled or with the perceived lack of information released, with a request to the University for a Review.
1.9 Ultimately there may be an Appeal to the Scottish Information Commissioner. It is the policy of the Scottish Information Commissioner to publish on the web full details of each Appeal as well as his decision.
2. Responding to Requests
2.1 All requests under EIRs should be sent to the DP/FOI Office who will respond accordingly.
2.2 If the Information Request was submitted via e-mail then:
• The communications with the Applicant should normally be by e-mail with, as appropriate, any attachment(s).
• Large volume of attachments may have to be sent in a series of e-mails.
• Paper-only copies of documents should be scanned and sent as attachments.
• All attachments must be sent in PDF format and not as raw Word, Excel, etc files.
• Standard template e-mail texts will be used to which any appropriate standard template letter should be attached as a PDF file.
2.3 If the Information Request was submitted via a posted letter then:
• The communications and the final response to the Applicant should be in that format/media but it may be preferable for cost reasons to suggest to the Applicant that another format/media, such as a CD, be used.
2.5 If the Information Request was received verbally then:
• The Applicant should be asked for their preferred method of response -either posted letter or email. A name and address for correspondence must be taken upon receipt of the request (see 1.4)
3. Is the Request covered by DPA, FoISA or EIRs?
3.1 The DPA is concerned with personal data about an individual whilst FoISA covers general information and EIRs cover environmental information.
3.2 A comparison between DPA and FoISA Requests is provided.
3.3 A definition of environmental information and the differences between FOISA and EIRs is also provided.
3.4 If the Request is partially for information about the applicant then that part of the Request will be extracted and handled as a Subject Access Request under DPA.
4. Is it an EIR Request?
4.1 Does the Request concern the ‘environment’ as defined in the EIRs?
4.2 Does the Request include the name of the applicant and an address [postal or e-mail] for correspondence? Note that the Scottish Information Commissioner has indicated that the applicant must give his/her real name and that the University does not have to answer the request if a false name or pseudonym has been used. If the Request is by email, the applicant's name must be given in the body of the email. The name in the email address (e.g. john.smith@mailaddress.com) is not sufficient.
4.3 Does the Request clearly describe the information required? Note that only recorded information held by the University is covered, and a Request for an opinion is not a valid Request. The reason for the Request is not relevant. Clarification from the applicant must be sought where it is not possible to accurately identify the information needed from the original description provided.
5. What is the timescale for responding to an Information Request?
5.1 A 20 working days timescale is allowed for a response to a ‘standard’ Request irrespective of the content of the Request and/or whether the Request is passed around between colleagues.
5.2 A Request which is deemed to be complex and voluminous and would involve a considerable amount of work the 20 day time period for responding can be extended to 40 days.
5.3 The 20 working day timescale starts the day after the receipt of the Request by the University.
5.4 A "working day" means any day other than a Saturday, a Sunday, Christmas Day or a day which, under the Banking and Financial Dealings Act 1971 (c.80), is a bank holiday in Scotland.
5.5 A Request via email is received when it arrives in the University’s email system.
5.6 A Request is not considered as received by the University, and thus the 20-day 'clock' does not start, until any issues regarding the Request itself (clarification required) or the Applicant (name/correspondence address), are clarified.
5.7 An un-read e-mail is still considered to have been received by the University and the 20 working day 'clock' is already running whilst the e-mail remains unread or is passed to a colleague to answer.
6. Seeking Clarification from the Applicant
6.1 The applicant must be contacted to seek clarification if the Request does not clearly describe the information required.
6.2 The Request is not considered as received by the University whilst clarification is sought from the Applicant.
7. Should an Information Request be acknowledged?
7.1 All valid EIR Information Requests must be acknowledged.
8. What format/media should be used for the Response?
8.1 The Applicant may specify the format/media required for the response. The University must attempt to honour that specification if it is technically and cost-wise possible.
8.2 See points 2.3, 2.4 and 2.5 for more information on appropriate formats/media
9. Is the Information Requested already available/published elsewhere?
9.1 If the Information is already available:
• in the University's Publication Scheme;
• on the University's web pages and the pages can be seen outwith the University;
• in some other University publication, or
• reasonably accessible elsewhere,
then the Request can be refused under paragraph 6(1)(b) of the EIRs.
9.2 If the Applicant cannot access the internet then the relevant information from the University's Publication Scheme or the University's web pages must be extracted and sent in an appropriate format/media.
10. Will the response to the Information Request be too costly?
10.1 The advice on calculating potential costs for Information Requests under FOISA will also be applied when dealing with Requests under EIRs.
10.2 The Data Protection and Freedom of Information Office will issue any Fees Notices.
10.3 It may be possible to reduce the costs by negotiation with the Applicant over the scale and scope of the Information Request.
11. How is it decided to use an EIR exception to the release of Information?
11.1 A range of exceptions may, when appropriate, be invoked to refuse to release information.
11.2 All EIR requests will be handled by the Data Protection and Freedom of Information Office who will apply any appropriate exceptions.