FoISA - Guidance on handling Requests for Information

The Freedom of Information [Scotland] Act [FoISA] is concerned with an individual's general right of access to most of the recorded information held by the University. If the request concerns information about an individual then the Data Protection Act [DPA] may apply - see below.

The Section 60 Code of Practice: Functions under FoISA has been prepared by the Scottish Executive, in conjunction with the Scottish Information Commissioner, as a best practice guide on the handling of Information Requests. The Code places special emphasis on the need of the University to provide advice and assistance to Applicants.

General Guidance

1. The Data Protection and Freedom of Information Office and your local FoISA co-ordinator are available to give advice on any aspect of identifying and handling FoISA Information Requests.
2. All FOISA 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.
3. Exemptions to the release of information might apply. Advice on the use of an exemption must be obtained from your local FoISA corrdinator or the Data Protection and Freedom of Information Office.
4. The response to any Information Request where an exemption to release is required, other that sections 17 [Information Not Held] or section 25 [Information otherwise accessible], must be passed to, and handled by, the Data Protection and Freedom of Information Office.
5. 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 foe a Review.
6. 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.
   

 Standard Template Letters and e-mail texts

1. Standard template letters and e-mail texts are provided and are recommended for communications with the Applicant who has submitted an Information Request.
2. The standard templates cover:

• Acknowledgement of receipt of an Information Request.
• Seeking clarification as to the meaning and scope of the Information Request.
• The final response of the Information Request.
• Section 17 Refusal Notice - Information not held by the University.
• Section 25 Refusal Notice - Information otherwise accessible.

   3.   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 are provided to which the appropriate standard template letter should be attached as a PDF file.

   4.   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.
• Standard template letters are provided to which the information requested should be attached.

 Is the Request covered by DPA or FoISA?

1. The DPA is concerned with personal data about an individual whilst FoISA covers general information.  A comparison between DPA and FoISA Requests is provided.
2. If the Request is partially for information about the applicant then that part of the Request must be extracted and handled as a Subject Access Request under DPA and referred immediately to the Data Protection and Freedom of Information Office.

 Is it a valid FoISA Information Request?

The answer must be yes to the following three questions for it to be a valid FoISA Information Request.

1. Is the Request in writing, or via e-mail, or other permanently recorded format?
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@emailaddress.com) is not sufficient.
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.

What is the timescale for responding to an Information Request?

1. A 20 working days timescale is allowed for a response to a Request  irrespective of the content of the Request and/or whether the Request is passed around between colleagues.
2. 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.
3. The 20 working day timescale starts from the receipt of the Request by the University.
4. A Request is not consider as received by the University, and thus the 20-day 'clock' does not start, until all the issues [if any] mentioned above are clarified.
5. A Request via e-mail is received when it arrives in the University's e-mail system.
6. An un-read e-mail has still 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.

 Seeking Clarification from the Applicant

1. The applicant must be contacted to seek clarification if the Request does not clearly describe the information required.
2. The standard template seeking clarification letter  should be used.
3. The Request is not considered as received by the University whilst clarification is sought from the Applicant.

 Should an Information Request be acknowledged?

1. All valid FoISA Information Requests must be acknowledged.
2. A standard template acknowledgement letter is provided.

 What format/media should be used for the Response?

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.
2. If the Information Request was submitted via a posted letter then:
   

• The response 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.
• The standard template response letter must be used.

    3.   If the Information Request was submitted via e-mail then:

• The response should normally be as an attachment or attachments to an e-mail.
• A large volume of attachments may have to be sent in a series of e-mails.
• It may be preferable for cost and volume reasons to suggest to the Applicant that another format/media for the response, such as a CD, be used and posted.
• Paper-only copies of documents should be scanned.
• All attachments must be sent in PDF format and not as raw Word, Excel, etc files.
• The standard template response e-mail and response letter must be used.

 Is the Information Requested already available/published elsewhere?

1. If the Information is already available:
   

• in the University's Publication Scheme, or
• on the University's web pages and the pages can be seen outwith the University, or
• in some other University publication, or
• reasonably accessible elsewhere,

then the standard template Refusal Notice - section 25 letter must be used.

    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.

Will the response to the Information Request be too costly?

1. The advice on calculating the potential costs must be followed.
2. It may be possible to reduce the costs by negotiation with the Applicant over the scale and scope of the Information Request.
3. An Information Request that might require the payment of a fee must be referred to the Data Protection and Freedom of Information Office who will issue the necessary Fees Notice.  

Is the Information Request for information not held by the University?

1. An Applicant may request Information that is not held by the University. In this case you must contact your local FoISA co-ordinator or the Data Protection and Freedom of Information Office for advice and confirmation.
2. A standard template Refusal Notice - section 17 letter must be used.

How is it decided to use an FoISA exemption to the release of Information?

1. A range of exemptions may, when appropriate, be invoked to refuse to release information.
2. Do not automatically withhold information that has been requested: if you think an exemption might apply, immediately contact your local  FoISA coordinator or the Data Protection and Freedom of Information Office.
3. The response to any Information Request where an exemption to release is required, other than sections 17 [Information Not Held] or section 25 [Information otherwise accessible], must be passed to, and handled by, the Data Protection and Freedom of Information Office.