Somerset County Council Guidance on Handling Requests Made Under

Home , Sedgemoor, Somerset County Council

Guidance on handling requests made Under the Freedom of Information Act and The Environmental Information Regulations

Version 2.0

September 2012

Summary

This document provides guidance for Somerset County Council (SCC) staff on how to respond to requests for information made under the Freedom of Information Act 2000 (FOIA) and the Environmental Information Regulations 2004 (EIRs).

The procedure is very similar for requests received under both pieces of legislation but where the EIRs differ, further information is given in the shaded boxes.

Produced by the Information Governance Team

Email: [email protected]

Tel: 01823 – 357194

Page 1 of 41 Index

1. The right of access

2. Timescales

3. What information is covered?

4. Publication of information

5. Open Government Licence

6. About the Open Government Licence

7. Recognising FOI requests

8. Dealing with routine requests

9. Recording a request

10. Costs and fees

11. Collating information in response to requests

12. How should information be released to the applicant?

13. Exemptions from access

14. Consulting with third parties

15. Refusing a request

16. Complaints and Internal Review procedures

17. Applying a Public Interest test

18. Schools and Academies

19. Media requests

Appendix 1: Exemptions under the Freedom of Information Act (FOIA) Appendix 2: Exceptions under the Environmental Information Regulations (EIR) Appendix 3: Standard text for letters under the FOIA Appendix 4: Standard text for letters under the EIR

Page 2 of 41 1. The right of access

Under the Freedom of Information Act (FOIA) any person or organisation may make a request in writing to SCC for information they believe we hold.

A request under the Environmental Information Regulations (EIRs) may be made verbally.

In response to requests for information, we will usually have to do three things:

 Confirm or deny whether the information is held  Provide the information to the applicant in an intelligible format  Provide advice and assistance to enable the applicant to find the information they are looking for.

This may include explaining the information to the applicant, or directing them to where further information may be found.

Under the EIRs we also need to be able to provide details about the methods of analysis, treatment of samples or other criteria used to compile environmental information, or where that information may be found. In most cases we will need to respond to the request, confirm that the information is held by SCC and then supply it to the applicant, although exemptions may apply in some cases.

The right to know whether information exists and the right to access it are distinct. In some cases we may confirm or deny that information is held, but we may not provide access to the information, because an exemption applies. Sometimes we may also refuse to confirm or deny whether it is held. Applicants can request to receive information in one of three ways:

 A copy of the original  A summary of the information  An opportunity to inspect information in person

We should try to accommodate such requests where possible. However, where it is not possible to provide the information in the manner requested we can suggest another way.

2. Timescales

We must respond to requests made under the FOIA or the EIRs within 20 working days. This does not include weekends or bank holidays. There are some circumstances where timescales can be increased.

 Where it is necessary to apply a public interest test to decide whether or not to release information, this time may be increased by a ‘reasonable period’ to take this into account. An estimate of when a reply will be available should be given to the applicant

Page 3 of 41  Schools may increase the time for a response to 60 working days to take account of school holidays. Be aware however, that schools and academies are their own data controllers and SCC cannot answer FOI / EIR requests on their behalf.

 Where we receive a request under the EIRs, the timescale may be increased to 40 working days where the information requested is complex or of a high volume.

 Where it is necessary to extend the time needed to respond to a request, the applicant must be informed within 20 working days, and preferably towards the beginning of the 20 day count.

3. What information is covered?

The FOIA / EIR apply to nearly all recorded information held by SCC. This includes information in all formats, i.e., electronic, manual records, audio or video and of all types e.g. policies, letters, procedures, emails and memos. Information held by SouthWest One on behalf of SCC (for example, payroll details, HR and some finance data) must be considered for disclosure under the FOIA. However, information about the internal workings of SouthWest One (for example their profit margins and itemised details within this contract) are not subject to the FOIA, since this legislation is not applicable to SouthWest One.

Information received from external organisations such as suppliers, contractors or central government is also covered by the FOIA, subject to exemptions. As a general rule, to preserve commercial confidentiality, we will not publish:

 Itemised financial details  Unit costs

No personal data will be published either. This may apply if a business is named after an individual, for example, John Smith.com. The Information Governance Team can advise on possible disclosure in these cases.

The right of access applies to information, not to documents as such, although in many case requests will be answered with copies of document. Some SCC information is not covered by the FOIA:

 Information that we hold solely on behalf of another organisation and which does not have a business purpose for us, for example, Trade Union information held on our systems. In these cases the applicant should be directed to the organisation responsible for the information

 Information which is freely available in the public domain whether on a website, from a library or by other means, for example Acts of Parliament or guidance available from central government websites

Page 4 of 41  In broad terms the EIRs cover information held about the environment. Where information falls into any of these categories, any request for it must be processed under the EIRs:

o The state of the elements of the environment: for example, water, air, soil o Human factors as they may affect the environment: for example, energy, noise, pollution, radiation, biodiversity, natural sites o Policies, legislation, procedures or programmes designed to protect the environment: for example, recycling initiatives o Reports about the implementation of environmental legislation o Economic analysis: for example, cost benefit analysis used in the context of environment policies or procedures o Human health and safety where affected by environmental factors: for example, food contamination, conditions of human life and condition of cultural or built sites, as they may be affected by the environment

4. Publication of information

The FOIA and the EIRs require us to increase the amount of information we make available. Where we have placed information in the public domain, we will not need to make it available in response to an FOIA request and should merely be able to direct people to it, where possible.

SCC maintains a Publication Scheme, as an obligation under the FOIA. This lists all the types of information that the County Council makes available.

Publication Scheme

SCC also maintains a disclosure log which details all the responses to FOI / EIR requests, without publishing the names of the requestors.

Disclosure Log

SCC also publishes, on a monthly basis, every financial transaction made over £500, since January 2011. This is part of our drive to make our information more transparent, and is supported by guidance from The Secretary of State for Communities and Local Government. Somerset County Council: transparency spend data

The EIRs require that we make as much environmental information available as possible by electronic means. Again, this can be done via our publication scheme, by regularly publishing information, or making it available for inspection. Information created after 1 January 2005 must also be organised in such a way that it can easily be made available electronically. We should also

Page 5 of 41 be able to give an explanation of how environmental information was collected or sampled.

Where we have not published information and it is not freely available any other way, an applicant has the right to make a request.

5. Open Government Licence

The Open Government Licence has been designed to help the public have greater access to published public sector information. It acts as a legal document that waives any copyright issues - as long as you accept terms and conditions below.

The Open Government Licence is found at:

http://www.nationalarchives.gov.uk/doc/open - government-licence/

You do not have to ask permission to use this data, but you do have to accept the terms of the Open Government Licence.

Use of copyright and database right material expressly made available under this licence (the ‘Information’) indicates your acceptance of the terms and conditions below.

The Licensor grants you a worldwide, royalty-free, perpetual, non-exclusive licence to use the Information subject to the conditions below.

This licence does not affect your freedom under fair dealing or fair use or any other copyright or database right exceptions and limitations. You are free to:

 Copy, publish, distribute and transmit the Information

 Adapt the Information

Exploit the Information commercially for example, by combining it with other Information, or by including it in your own product or application

You must, where you do any of the above, acknowledge the source of the Information by including any attribution statement specified by the Information Provider(s) and, where possible, provide a link to this licence.

If the Information Provider does not provide a specific attribution statement, or if you are using Information from several Information Providers and multiple attributions are not practical in your product or application, you may consider using the following statement:

Contains public sector information licensed under the Open Government Licence v1.0

Page 6 of 41 Ensure that you do not use the Information in a way that suggests any official status or that the Information Provider endorses you or your use of the Information.

Ensure that you do not mislead others or misrepresent the Information or its source.

Ensure that your use of the Information does not breach the Data Protection Act 1998 or the Privacy and Electronic Communications (EC Directive) Regulations 2003.

These are important conditions of this licence and if you fail to comply with them the rights granted to you under this licence, or any similar licence granted by the Licensor, will end automatically.

Exemptions to the Open Government Licence

This licence does not cover the use of:  Personal data in the Information that has neither been published nor disclosed under information access legislation (including the Freedom of Information Acts for the UK and Scotland) by or with the consent of the Information Provider  Departmental or public sector organisation logos, crests and the Royal Arms except where they form an integral part of a document or dataset  Military insignia  Third party rights the Information Provider is not authorised to license  Information subject to other intellectual property rights, including patents, trademarks, and design rights  Identity documents such as the British Passport

No warranty

The Information is licensed ‘as is’ and the Information Provider excludes all representations, warranties, obligations and liabilities in relation to the Information to the maximum extent permitted by law.

The Information Provider is not liable for any errors or omissions in the Information and shall not be liable for any loss, injury or damage of any kind caused by its use. The Information Provider does not guarantee the continued supply of the Information.

Governing Law

This licence is governed by the laws of the jurisdiction in which the Information Provider has its principal place of business, unless otherwise specified by the Information Provider.

Definitions

In this licence, the terms below have the following meanings:

Page 7 of 41  Information: - means information protected by copyright or by database right (for example, literary and artistic works, content, data and source code) offered for use under the terms of this licence.

 Information Provider: - means the person or organisation providing the Information under this licence.

 Licensor: - means any Information Provider which has the authority to offer Information under the terms of this licence or the Controller of Her Majesty’s Stationery Office, who has the authority to offer Information subject to Crown copyright and Crown database rights and Information subject to copyright and database right that has been assigned to or acquired by the Crown, under the terms of this licence.

 Use: - as a verb, means doing any act which is restricted by copyright or database right, whether in the original medium or in any other medium, and includes without limitation distributing, copying, adapting, modifying as may be technically necessary to use it in a different mode or format.

 You: - means the natural or legal person, or body of persons corporate or incorporate, acquiring rights under this licence.

6. About the Open Government Licence

The Controller of Her Majesty’s Stationery Office (HMSO) has developed this licence as a tool to enable Information Providers in the public sector to license the use and re-use of their Information under a common open licence. The Controller invites public sector bodies owning their own copyright and database rights to permit the use of their Information under this licence.

The Controller of HMSO has authority to license Information subject to copyright and database right owned by the Crown. The extent of the Controller’s offer to license this Information under the terms of this licence is set out in the UK Government Licensing Framework.

7. Recognising FOI requests

Requests made under the FOIA must:

 Be in writing (by letter, e-mail or fax) Where a request is received by telephone, and is not for environmental information, the applicant should be asked to frame their request in writing either by letter or email. If the applicant is unable to frame their request in writing for any reason, a note should be taken of what information they are seeking and should be sent to the applicant for confirmation.

 Requests made under the EIRs may be made verbally or in person. A written request is not required.

Page 8 of 41  Provide a name and address (or email address) for correspondence If the requestor has not provided a name or address, try to confirm these where possible. If it is not possible, the request can be refused on those grounds.

 Be clear, by providing sufficient details to enable us to locate the information required. If sufficient information has not been received from the applicant to allow the information to be located or if the request is unclear, the applicant should be contacted as soon as possible by phone, e-mail or letter and asked to clarify the request.

ICO guidance is that the requestor then has 3 months to clarify the nature or content of a request before it can be closed down by the Council; the requestor must be informed of this fact.

Applicants should not be expected to provide information that they could not be expected to know, such as exact file references or the process date on which the information was created.

If further details are not forthcoming, readily available information can be provided, or if that is not possible, the request may be refused. There is no requirement to mention the FOIA or EIRs in a request, and the applicant does not have to provide details about why they require the information.

8. Dealing with routine requests

Most routine requests for information that the Council receives will be dealt with quickly and simply over the telephone or by standard letter/e-mail.

Where you receive requests that are very simply to satisfy or where you already have a departmental procedure for answering requests on particular subjects there is no need to follow this procedures. However, you will need to ensure, as far as is possible that a response can be provided within 20 working days.

Please contact the Information Governance Team if you receive a request that:

 Mentions the FOI Act  Is more complex and is not asking a ‘standard’ question  Is asking for information where you have a concern about releasing it.

9. Recording a request

A record of the FOI requests received will be held on Somerset Direct’s Customer Relations Management system so that management information can be produced and quality assessment carried out. Other FOI requests, that might bypass Somerset Direct, will be logged and recorded by each individual directorate’s recording system.

Page 9 of 41 Where requests are received directly through the SCC Website from Somerset Direct, they will be forwarded to the relevant directorate’s information governance team for action.

Where you receive a request by other means, please contact either the Corporate Information Governance Team or your directorate’s information governance team to ensure that the request is recorded and that the appropriately trained staff members can deal with the request. The complete copy of all material released and withheld should be kept, along with any other documentation, as a full record of the request for 2 years.

10. Costs and fees

We cannot charge for providing information unless the cost to the county Council exceeds a value of £450. This value is calculated using a flat rate of £25 per hour. Therefore, the maximum value would be reached after 18 hours work. Over this cost limit, dealing with a request is discretionary and may be refused, although we should discuss this with the applicant and come to an agreement where possible.

When a request is received which may take a considerable amount of time or cost to satisfy, an estimate of cost should be produced. This estimate may take into account the cost of: Determining whether information is held Location and retrieving information Extracting information from a document.

However, this does not include the cost of considering exemptions, considering whether request is vexatious, consulting or seeking authorisation to release information or providing advice and assistance.

If the estimate suggests that the cost of meeting the request will exceed £450, this costs needs to be discussed with the applicant within 20 working days of receipt. The applicant must be contacted and informed of the cost of providing the information. There are several ways forward:

 Suggest to the applicant that their request be refined within the cost limit or agree to provide part of the information  Choose to provide the information to the applicant at full cost  Where no agreement can be reached, the request can be refused there is an obligation on SCC under the FOIA to offer advice and guidance to the requestor in such circumstances - See Appendix 2 (H) for the current SCC

11. Fee Charging Policy

Under the EIRs we are entitled to charge a ‘reasonable amount’ for access to environmental information. However, it is strongly advised that we follow the same procedures as for FOI requests where possible. Where we decide to charge, a notice must be sent to the applicant giving details of the charges within 20 working days. The applicant must then provide payment within 3 months for us to continue with the request.

Page 10 of 41 Under the EIRs it is not permissible to charge for access to public registers or lists.

We may charge for photocopying, postage or for putting information into another format where this is considerable. The applicant should be informed as soon as possible that we intend to charge for this work.

In line with SCC’s equalities policies, no charge should be made for putting information into a format such as large print or Braille.

12. Collating information in response to requests

In most cases, the information requested will be brought together from one directorate. In this case, the directorate’s Information Governance Team or other member of staff designated to reply to the request, will locate and collate the information, apply any exemptions necessary and release the information to the applicant.

Some requests may require information to be brought together from several departments of SCC. In these cases, the corporate Information Governance Team will co-ordinate the request, and ensure than the information is collected from all relevant areas of the organisation.

Ensure that information is collected from wherever it may be held or stored this could be from staff holding information, manual files or electronic files and email records.

Databases may need to be interrogated in a variety of ways to answer requests. However, where the information is not readily accessible, for example where considerable work would be required by an analyst to extract it, an estimate should be produced of the cost of the work. See Appendix 2 (H) for the current Fee Charging Policy.

The information should be brought together as a whole, but a record should be kept of where it is located, so that a complete audit trail of the request is held. This is important in case of a complaint.

13. How should information be released to the applicant?

An applicant is entitled to request communication of the information in one of three ways: A copy of the information An opportunity to inspect the information A digest or summary of the information in permanent form.

Where the applicant does not give a preference, the information should be provided in the form of a copy. However, if small amounts of information have been gathered from different sources, you may find it appropriate to list the information within the body of a letter to the applicant.

Although we should endeavour to meet the requirements of the applicant, we are not obliged to where it is too costly or difficult to do so.

Page 11 of 41 Where the information requested consists of a large amount of documents, it may be more effective to provide access to the applicant in our offices.

The SCC’s Equalities Policy must be followed when deciding how to provide access to information. For example, information should be made available in Braille, large print, tape or translated where applicable.

14. Exemptions from access

Information must be released under the FOIA or the EIRs unless an exemption applies. There should be careful consideration of any exemptions that may apply.

Consideration must be given firstly to whether we are able to confirm or deny that information is held and, secondly, to whether the information can be released. Sometimes we will exempt the information from access but can still confirm or deny that it is held.

An exemption may apply to all or part of the information. Because part of the information is exempt, this does not entitle us to withhold all of it. Under the EIRs we may only refuse access to all the information where part of it is exempt, when the two parts are inseparable.

Absolute exemptions apply to certain types of information, for example, information supplied to SCC in confidence or records of court proceedings. These exemptions will always apply.

Public interest exemptions apply to:

 Certain kinds of information, for example information we hold because we are conducting an investigation

 Where there is a prejudice to functions such as law enforcement or health and safety if the information were released.

 Once it is established that an exemption may apply, a test of the public interest must be carried out before access to information can be refused. For details on what a public interest test should be applied see the appendices.

Exemptions from access under the EIRs are known as Exceptions. There are no absolute exceptions. They are all liable to a test of public interest before a final decision is made.

A complete list of FOIA exemptions and EIR exceptions is provided at the end of this document. For guidance in applying the exemptions, please contact the Information Governance Team.

Page 12 of 41 15. Consulting with third parties

Where the implications of releasing information are unclear, or where it is thought that an exemption may apply, it may be necessary to consult with third parties who may have an interested in whether or not information is disclosed.

These third parties may include:

SCC staff in departments where the information was created or whom its release may affect third parties mentioned or affected by the information, for example contractors, suppliers and other individuals or organisations.

Third parties may bring concerns that the release of all or part of the information may prejudice their interests. It is important that any implicit or explicit duty of confidence that was understood when information was provided to SCC is identified

Although third parties may object to the release of information, their interests and arguments may (in the case of a public interest exemption) be weighed against the general public interest in releasing the information.

16. Refusing a request

Where exemptions are applied to all, or part of the information requested, a refusal notice or letter must be sent to the applicant. Such a notice should also be sent when the exemption only applies to part of the information, along with the information to which the applicant is entitled.

A refusal notice should set out the exemptions that we are relying on to justify non-disclosure of the information and should also set out, where possible, what we have considered in order to reach our decision.

The right to appeal our decision should also be set out in the notice. Complaints and Internal Review procedures.

In the event of a complaint being received from an applicant, either that the request has not been properly dealt with, or that they have not received the information to which they are entitled, the following procedure should be followed: Initially, we should attempt to resolve the complaint informally within the directorate that provided the response. Often this will be possible and it may be easily resolved.

Where the complaint is about the process involved in answering the request, for example, an unacceptable delay in responding to the request, the complainant should end an email to [email protected] or write to:

Somerset County Council Compliments, Complaints and Comments, Customer Contact

Page 13 of 41 Freepost NAT9109 Taunton Somerset TA1 4ZA

Phone 0845 345 9116

Where the complainant is dissatisfied with the material disclosed under the FOIA, an internal review will be carried out by the Corporate Information Governance Manager. Some teams may refer to internal reviews as ‘appeals’; the process is the same.

If the complainant is not satisfied after the internal review procedure has been followed, they should appeal to the Information Commissioner’s Office (www.ico.gov.uk).

Under the EIRs applicants may complain to us in the first instance where they are not satisfied with the outcome. We must consider their complaint and any evidence they supply and reply within 40 days.

Where an applicant is still not satisfied with our decision, the complaint may be taken to the Information Commissioner’s Office (www.ico.gov.uk).

The Information Commissioner’s Office is the UK body responsible for investigating complaints under the FOIA and for making the ultimate decision in cases where access to information is in dispute.

Information Commissioner’s Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF Telephone: 0303 – 123 1113 www.ico.gov.uk

17. Applying a Public Interest test

Where a public interest exemption applies, a public interest test must be carried out prior to a final disclosure decision being taken. It is important that we can justify our public interest decision as well as the initial applicant of an exemption.

Every EIR exception will involve applying a public interest test. The test involves balancing the public interest in disclosing the information to the public against the public interest in maintaining the exemption.

Page 14 of 41 Considerations which may increase the public interest in maintaining an exemption include:

 Where release of information may affect the proper conduct of public affairs, for example, where it may provide an unfair advantage in a tendering process

 Where releasing information may compromise procedures that the Council has in place

 Where the information is not of benefit to the public as a whole

Factors which may encourage the disclosure of information include:

 Furthering the understanding of and participation in public debate  Promoting our accountability and transparency for our decisions  Promoting accountability and transparency in the spending of public money  Allowing individuals and companies to understand decisions made by public authorities affecting their lives and, in some cases, assisting individuals in challenging those decisions.  Bringing to light information affecting public health and public safety  Where the release of information is of relevance to the public as a whole

The time taken to respond to the request may be increased by a ‘reasonable’ amount’ to allow a public interest test to be applied. This should only be done where strictly necessary. The applicant must be informed that his is the case within 20 working days and should be given a date by which a response will be available.

18. Schools and Academies

If the Council receives a request regarding schools and academies it is important to understand that they are Data Controllers (of personal and sensitive data) in their own right. Consequently, they should have registered, as having this role, with the Information Commissioner’s Office (see http://www.ico.gov.uk/for_organisations/data_protection/notification.aspx); many requests for information can therefore be re-directed to the relevant schools(s).

In some situations however, information about schools may be held by the Council (for example, staffing or admissions data) and we are able to respond. If a request relates to a particular school, or even a small number of schools, it can be useful to inform the school as a matter of courtesy that the request has been made and also to provide the response; requests for information that concern all schools need not be communicated to these schools. If you have to notify a school or academy about an information request, it is important to

Page 15 of 41 withhold the name of the requestor in these situations’; FOI / EIR requests are ‘applicant blind’.

19. Media requests

Before a response goes out to either a media source (e.g. the BBC, Somerset County Gazette) or websites such as www.whatdotheyknow.com it is important to alert the Press Office.

The final response should be sent to Simon Clifford (Group Manager – Head of Communications) and copied to:

Elizabeth Kulh Deborah Porter Anna Newman

N.B. These names are current as of June 2012

Once Simon Clifford has signed off the request it may then be sent out to the requestor. This is important since it may alert the Press Office of any controversial stories where there may be a reputational risk to the Council.

Page 16 of 41 Appendix 1 : Exemptions under the Freedom of Information Act

Quick reference guide. For detailed guidance please see Information Commissioner’s Office website:www.ico.gov.uk

Absolute exemptions always apply to the information described

A public interest test must be carried out under any other exemptions, before a decision is made to refuse access

Exemption Absolute or public interest What it covers Information not held by SCC Absolute Where SCC does not hold information it does not need to be provided. However, we need to provide advice and assistance to guide someone to where information can be found if possible Information accessible by other Absolute Information freely available to the applicant in the public domain. means (s 21) Includes information made available through SCC’s publication scheme e.g. on Council’s website Vexatious requests (s 14) Vexatious requests are classified as repeated or malicious requests which are intended to ‘frustrate the operations’ of SCC. N.B. Please contact the head of Data Protection and Records Management before applying this exemption to a request. Matters of Security (s 23) Absolute Information supplied by certain security organisations e.g. MI5 Court records (s 32) Absolute Information contained in official material received during the course of litigation in which SCC is involved. Applies to information held only because SCC involved in litigation. Personal Data (s 40) Absolute Where the request is for personal data relating to the applicant (this is dealt with under the Data Protection Act). See also under public interest exemption for personal data about a third party. Information provided in confidence Absolute Information supplied to SCC in confidence, where breach of (s 41) confidence could result in court action Disclosures prohibited by law (s 44) Absolute Where disclosure of the information is prohibited by law

Page 17 of 41 National Security (s 24) Public interest test Where disclosure may prejudice the ability to safeguard National required Security National defence (s 26) Public interest test Where disclosure prejudice the defence of the British Isles or the required effectiveness of the armed forces International relations (s 27) Public interest test Where disclosure may prejudice relations between the UK and required another state, international organisation or court, or where the information was obtained confidentially from another State, international organisation or court. Where disclosure may prejudice the interests of the UK Relations within the UK (s 28) Public interest test Where disclosure may prejudice relations between devolved required governments in the UK The Economy (s 29) Public interest test Where disclosure may prejudice the economic interests of the required UK or part of the UK. Law enforcement (s 31) Public interest test Where disclosure may prejudice the prevention and detection of required crime; the apprehension and prosecution of offenders; the administration of justice; the assessment of tax or other impositions; the exercise of certain regulatory functions by public authorities or any civil proceedings arising out of these functions Audit functions (s 33) Public interest test Applies to organisations with functions to audit the accounts and required allocation of resources of other public bodies Effective conduct of public affairs (s Public interest test Where disclosure may prejudice the collective responsibility of 36) required an organisation or inhibit the free and frank exchange of views with a view to policy formations. N.B. use of this exemption must be agreed by the Monitoring Officer or Chief Executive Health and safety (s 38) Public interest test Where disclosure may endanger the physical or mental health or required safety of any person or group Commercial interests (s 43) Public interest test Where disclosure may prejudice the commercial interests of any required person or other legal entity, including SCC itself

Page 18 of 41 Information intended for future Public interest test Where the intention is to make information publicly available publication (s 22) required prior to the request being Public authority investigations (s 30) Public interest test Where disclosure may prejudice investigations carried out by required SCC e.g. trading standards Formulation of Government Policy Public interest test Information relating to development of government policy, (s 35) required ministerial communications and provision of legal advice Communications with Her Majesty Public interest test Communications with Her Majesty or members of the Royal (s 37) required Family Environmental information (s 39) Public interest test Includes information relating to the land, water, flora and fauna; required activities affecting the environment; measures taken to protect the environment. EIR procedures apply Legal professional privilege (s 42) Public interest test Where disclosure of information would prejudice the principles of required legal privilege enabling confidence between lawyers and their clients.

Page 19 of 41 Appendix 2 : Exceptions under the Environmental Information Regulations

All exceptions under the EIRs are subject to a public interest test before a decision can be made to refuse a request

Exemption What it covers Information not held (s 12) (4) (a) SCC does not hold the information requested prior to the receipt of the request The request is ‘manifestly unreasonable’ (s 12) (4) (b) The request requires unreasonable amount of effort or cost on behalf of the organisation to provide the information. It may also be a request that is ‘vexatious’ see FOIA The request is too general (s 12) (4) (c) The request is made in too general a way. In this situation the applicant must be informed within 20 working days and offered the opportunity to refine their request and to provide more particulars The request relates to unfinished material (s 12) (4) (d) Relates to unfinished work or incomplete data The request involves the disclosure of internal communications either The request means that we would need to disclose internal within SCC or between government departments communications such as memos or emails. NB this is not an (s 12) (4) (e) exemption from the FOIA International relations, defence, national security and public safety Disclosure of the information would adversely affect any of these (s 12) (5) (a) areas The course of justice, the ability of a personal to receive a fair trial or Disclosure of the information may adversely affect any of these the ability of a public authority to carry out an inquiry of a criminal or areas disciplinary nature (s 12) (5) (b) This is similar to Legal Professional Privilege found in the FOI Act Intellectual property rights (s 12) (5) (c) Disclosure would breach anyone’s intellectual property rights e.g. copyright Confidentiality of proceedings of SCC or any other authority where that This does not apply to emissions confidentiality is provided by law (s 12) (5) (d)

Page 20 of 41 Confidentiality of commercial or industrial information where such All legitimate commercial or industrial economic interests confidentiality is protected by law to protect a legitimate economic interest (s 12) (5) (e)

The interests of the person who provided the information where: Where disclosure of the information would prejudice the rights of They were not under any legal obligation to supply it the supplier of information or any agreements with them (does not It was not supplied in circumstances that would allow SCC or any other apply to emissions) public authority, apart from under EIRs to disclose it They have not consented to its disclosure (s 12) (5) (f) (i), (ii) & (iii) The protection of the environment to which the information relates (s Where disclosure may adversely affect the environment or 12) (5) (g) protection of the environment to which the information relates. (does not apply to emissions) Personal data (s 13) (1) to (5) Where the disclosure of data about a person (other than the applicant) would: Breach any of the Data Protection principles in the Data Protection Act Be likely to cause damage and distress in contravention of section 10 of the Data Protection Act The information would not be released under the subject access provisions of the Data Protection Act, and it is not in the public interest to do so

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Appendix 3: Standard text for letters under the FOIA (2000)

A. Acknowledgement of request

B. Acknowledgement of FOI request and warning of possible fee

C. Reply enclosing information

D. When there is not enough information from the requestor

E. Letter where the application of the public interest test will take longer than 20 working days

F. Refusal of request where exemption applies

G. Requesting payment (over 18 hours of work)

H. Fees notice letter template

I. Request that needs to be directed to District Council level

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A: Acknowledgement of request

Dear XXXX

Thank you for your request made under the Freedom of Information Act (FOIA) 2000.

Although you made the request under the Freedom of Information Act, your enquiry is substantially in connection with environmental information and therefore falls under the Environmental Information Regulations, (EIR) (2004). These regulations are very similar in effect to the Freedom of Information Act, but have slightly different conditions. More information on them is available at the Information Commissioner’s website www.ico.gov.uk

We are currently dealing with your request and will be in touch shortly concerning disclosure of the information you have requested.

The legislation obliges us to provide you with this information within 20 working days, so our response will be sent to you by XXXXXX

Please be aware that we now publish all responses to requests for information made under the FOIA, without any details of the requestor, on the Council’s website.

Please see: http://www.somerset.gov.uk/disclosurelog

Yours sincerely

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B: Acknowledgement of FOI request and warning of possible fee

Somerset Direct ref: Council Service ref: Date of request: Due date of response:

Dear XXXX

Thank you for your request made under the Freedom of Information Act (FOIA) 2000 to Somerset County Council.

We are currently dealing with your request, and will be in touch shortly concerning disclosure of the information you have requested.

At this stage however, I would like to point out that your request seems to be sufficiently complex and large to warrant a possible charge.

The Council can exempt this entire request under Sub-section 12 (1) of the FOIA if it exceeds the 18 hours. However, the FOIA 2000 also states that public bodies may apply charges to provide information to the public; this is found in the Freedom of Information and Data Protection (Appropriate Limit and Fees) Regulations 2004, SI 2004 / 3244 (‘the Fees Regulations’).

If Somerset County Council makes a reasonable estimate that it will spend more than £450 on staff time in complying with a request, then charges will be applied; this figure is based on an agreed national hourly rate of £25 equating to 18 hours of Council staff time.

This charge is calculated in accordance with section 13 of the Freedom of Information Act 2000 and the Freedom of Information Fees Regulations.

In dealing with your FOI request, Council staff will initially assess the number of hours needed to respond to this, and if this is over the 18 hour limit then I will contact you again as soon as possible. If at this stage you would like to narrow or redefine the scope of your request, the Council will re-assess the time needed to respond to th.

If you would like to phone me to discuss your request, my direct line is 01823- XXXXXX.

Yours sincerely

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C: Reply enclosing information

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

I am writing regarding your recent request for information to Somerset County Council, which has been dealt with under the provisions of:

The Freedom of Information Act (FOIA) (2000) The Environmental Information Regulations, (EIR) (2004)

Your request made to the Council concerned:

Firstly, I can confirm that we hold this information.

Either Please find enclosed copies of the information requested

Or In response to your questions [insert responses in body of letter]

Under the Environmental Information Regulations (and the Freedom of Information Act), we have the right to withhold information if an exception applies. In this case, we believe that an exception applies.

(Detail exception and regulation and what it applies to)

If you feel your request has not been answered in sufficient detail or if you wish to clarify the information given, please contact me and I will be happy to address the issues you raise.

If you are not satisfied with the way we have dealt with your request, or the information you have received, you can ask for an internal review of our decision. Please send your request to:

Peter Grogan

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Corporate Information Governance Manager Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset TA1 4DY or email [email protected]

We will carry out an internal review and we will write to you with the results of our investigation.

If you are not content with the outcome of the internal review, you have the right to apply directly to the Information Commissioner for an appeal.

The Information Commissioner can be contacted at:

Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF Tel: 0303 – 123 1113

Please quote the reference numbers at the top of this letter in any future correspondence.

Finally, please be aware that your response will appear, without your contact details, on the Council’s website at:

http://www.somerset.gov.uk/disclosurelog

Yours sincerely

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D: When there is not enough information from the requestor

Somerset Direct ref: Council Service ref: Date of request: Due date of response:

Dear XXXX

Thank you for your request for information, which we are treating as a request made under the Freedom of Information Act 2000.

Unfortunately we are unable to process your request as we do not have enough detail from you in order to identify the information you require.

In particular [insert specific]

In order for us to process your request, please could you provide us with this information within the next seven days. The Act also allows us to stop the 20 day response time frame, until we receive this clarification from you.

If we do not hear from you within three months of the date of this letter, then we will close this FOI request.

Yours sincerely

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E: Letter where the application of the public interest test will take longer that 20 working days

Somerset Direct ref: Council Service ref: Date of request: Due date of response:

Dear XXXX

Thank you for your request for information, which we are processing in accordance with the Freedom of Information Act 2000.

An exemption applies to some/all of the information you have requested. This exemption requires a consideration of the public interest in disclosing or withholding the information. Our consideration of the public interest element requires longer that the 20 working days to apply and we therefore need to increase the time in which we provide a response.

We regret the delay that this will cause in taking us past the 20 day deadline and we will be able to supply you with a response by [insert date]

Yours sincerely

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F: Refusal of request where exemption applies

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

I am writing regarding your recent request for information, which has been processed under the provisions of the Freedom of Information Act 2000.

[We confirm that the information requested is held by Somerset County Council – unless the fact that we hold the information is itself exempt].

However, we judge the information to be exempt under the Freedom of Information Act, and therefore we will not be providing it to you. Describe specific exemption(s) applied with section of Act where applicable.

If you are not satisfied with the way in which your request has been dealt with, or the information you have received, you can make a complaint or ask us to review our decision. Please send your complaint to:

Peter Grogan Corporate Information Governance Manager Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset TA1 4DY or email [email protected]

An internal review will then be carried out and we will write to you with the results of our investigation. If you are not content with the outcome of our review, you may then apply directly to the Information Commissioner’s Office (www.ico.gov.uk ) for a decision: The Information Commissioner can be contacted at:

Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF or phone 0303 – 123 1113

Yours sincerely

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G: Requesting payment (over 18 hours of work)

Dear XXXX

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Fees notice

Thank you for your most recent request for information made under the Freedom of Information Act (FOIA) 2000. I can confirm that we hold the information that you want.

Your request concerned:

The FOIA (2000) states that public bodies may apply charges to provide information to the public; this ruling is found in the Freedom of Information and Data Protection (Appropriate Limit and Fees) Regulations 2004, SI 2004 / 3244 (‘the Fees Regulations’). If a public body is likely to spend more than £450 on staff time in complying with a request, then it can apply charges; this figure is based on an hourly rate of £25, or 18 hours of work.

We have estimated that it will take …. hours to meet your request, which comes to £…….. This has been calculated in accordance with section 12 of the Freedom of Information Act (2000) and the Freedom of Information Fees Regulations. The work involved in responding to your request concerns: …… ……

If you narrow the scope of your request, we may be able to provide the information free of charge, because it would cost less than18 hours work. For example, you may wish to refine your request by being more specific about the information you particularly want, including any dates or period of time relevant to the information required.

If you wish us to continue to process your request you should pay the fee by ………. (Allow 3 months). If we do not receive payment of the fee by this date, I will assume that you do not wish to continue with this request and I will consider the request closed.

If you are not satisfied with how we have handled your request, you have the right to ask for an internal review. You should request an internal review within two months of the above date, and it should be addressed to:

Peter Grogan

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Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset TA1 4DY

Direct dial: 01823 – 357194

Email: [email protected]

If you would like more advice from an independent organisation, you can contact the Information Commissioner’s Office (www.ico.gov.uk ). The Information Commissioner can be contacted at:

Information Commissioner’s Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF or phone 0303 – 123 1113

Yours sincerely

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H: Fees notice letter template

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

Fees notice

Thank you for your most recent request for information concerning ………… made under the Freedom of Information Act (FOIA) 2000.

The FOIA states that public bodies may apply charges in order to provide information to the public; this is found in the Freedom of Information and Data Protection (Appropriate Limit and Fees) Regulations 2004, SI 2004 / 3244 (‘the Fees Regulations’). If a public body spends more than £450 on staff time in complying with a request, then charges may be applied; this figure is based on an hourly rate of £25 over 18 hours.

However, we are happy to respond to your request if you pay the fee as set out in this notice. The Council has estimated that it will take …. hours to meet your request, which comes to £…….. This charge has been calculated in accordance with section 13 of the Freedom of Information Act 2000 and the Freedom of Information Fees Regulations.

We are unable to continue processing your request until the fee is paid. If you wish the Council to continue to process your request you should pay the fee within 60 working days (by XXXXX). If the department does not receive payment of the fee by this date, I will take it that you do not wish to pursue this request and will consider the request closed.

If you narrow the scope of your request, we may be able to provide the information free of charge because it would cost less than the appropriate limit to do so. For instance, you may wish to refine your request by being more specific about what information you particularly wish to obtain, including any dates or period of time relevant to the information required.

If you are dissatisfied with the handling of your request, you have the right to ask for an internal review. Internal review requests should be submitted within two months of the date of receipt of the response to your original letter and should be addressed to:

Peter Grogan Information Governance Team Client Services Team Resources Directorate / A2W County Hall

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Taunton Somerset TA1 4DY

Email: [email protected]

If you are not content with the outcome of the internal review, you have the right to apply directly to the Information Commissioner’s Office (www.ico.gov.uk ) for a decision. The Information Commissioner can be contacted at:

Information Commissioner’s Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF or phone 0303 – 123 1113

Yours sincerely

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I: Request that needs to be directed to District Council level

Dear XXXXXX

Thank you for your request for information, made under the Freedom of Information Act 2000, dated XXXXXXXXXXX in which you requested details about XXXXXXXXXXXXXXXXX.

I can confirm that Somerset County Council does not hold any information relating to your enquiry.

This is because Somerset operates in a two-tier system where it is the District Councils that XXXXXXXXXXXXXXX and not the County Council.

I have included contact details for all of the District Councils within Somerset, if you want to make a Freedom of Information request to them directly:

Taunton Deane Borough Council: [email protected]

Sedgemoor District Council: customer.services@sedgemoor.gov.uk

South Somerset District Council: [email protected]

West Somerset Council: [email protected]

Mendip District Council: [email protected]

If you are not satisfied with the handling of your request, you have the right to ask for an internal review.

You should submit an internal review request within two months of the date of receipt for the response to your original request, and it should be addressed to:

Peter Grogan Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset TA1 4DY

Direct dial: 01823 – 357194

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Email: [email protected]

If you are not satisfied with the outcome of the internal review, you have the right to apply directly to the Information Commissioner for a decision.

The Information Commissioner can be contacted at:

Information Commissioner’s Office Wycliffe House Water Lane Wilmslow, Cheshire SK9 5AF www.ico.gov.uk; Tel 0303-123 1113

Yours sincerely

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Appendix 4 : Standard text for letters under Environmental Information Regulations (2004)

A. Acknowledgement of request

B. Reply enclosing information

C. Refusal of request where exception applies

D. When there is not enough information from the requestor

E. Letter where the application of the public interest test will take longer than 20 working days

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A: Acknowledgement of request

Dear XXXX

Thank you for your request made under the Environmental Information Regulations (EIR) (2004).

We are currently dealing with your request and will be in touch shortly concerning disclosure of the information you have requested.

The legislation obliges us to provide you with this information within 20 working days, so our response will be sent to you by XXXXXX

Please be aware that we now publish all responses to requests for information made under the FOIA and EIR, without any details of the requestor, on the Council’s website.

Please see: http://www.somerset.gov.uk/disclosurelog

Yours sincerely

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B: Reply enclosing information

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

I am writing regarding your recent request for information to Somerset County Council, which has been dealt with under the provisions of the Environmental Information Regulations (EIR) 2004.

Your request made to the Council concerned:

Firstly, I can confirm that we hold this information.

Either Please find enclosed copies of the information requested

Or In response to your questions [insert responses in body of letter]

If you feel your request has not been answered in sufficient detail or if you wish to clarify the information given, please contact me and I will be happy to address the issues you raise.

If you are not satisfied with the way in which your request has been dealt with, or the information you have received, you can ask for an internal review of our decision.

Please send your request to:

Peter Grogan Corporate Information Governance Manager Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset

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TA1 4DY email [email protected]

An internal review will then be carried out and we will write to you with the results of our investigation. If you are not content with the outcome of our review, you may then apply directly to the Information Commissioner’s Office (www.ico.gov.uk ) for an appeal: The Information Commissioner can be contacted at:

Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF Tel: 0303 – 123 1113

Please quote the reference numbers at the top of this letter in any future correspondence.

Finally, please be aware that your response will appear, without your contact details, on the Council’s website at:

www.somerset.gov/disclosurelog

Yours sincerely

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C: Refusal of request where exception applies

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

I am writing in respect of your recent request for information which we are processing under the provisions of the Environmental Information Regulations (EIR) 2004.

[We confirm that the information requested is held by Somerset County Council – unless the fact that we hold the information is itself exempt].

However, we judge the information to be exempt under the Environmental Information Regulations (EIR) 2004, and we will not be providing it to you.

Describe specific exception(s) applied with section of Act where applicable and state the Public Interest Test applied / considered.

Peter Grogan Information Governance Team Client Services Team Resources Directorate / A2W County Hall Taunton Somerset TA1 4DY or email [email protected]

Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF or phone 0303 – 123 1113

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D: When there is not enough information from the requestor

Somerset Direct ref: Council Service ref: Date of request: Due date of response: Actual date of response:

Dear XXXX

Thank you for your request of [insert date] which we are treating as a request made under the Environmental Information Regulations (EIR) 2004.

Unfortunately we are unable to process your request as we have insufficient details from you in order to identify the information you require.

In particular [insert specific] In order for us to process your request under the Environmental Information Regulations (EIR) 2004, please could you provide us with this information by (allow 7 days)

The Regulations also allows us to stop the 20 day response time frame, until we receive this clarification from you.

If we do not hear from you within three months of the date of this letter, then we will close this EIR request.

Yours sincerely

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