Information management - Freedom of Information SOP (W1019)

1.0 Summary of Changes

1.1 This procedure/SOP has been updated on its yearly review as follows:

• Within paragraph 3.1.4 Central Referral Unit (CRU) replaced with National Police Freedom of Information and Data Protection Unit (NPFDU);
• New EIA added into section 4;
• Author and owner details updated.

2.0 What this Procedure/SOP is about

2.1 This procedure/SOP aims to provide Essex and Kent staff an understanding of the Freedom of Information Act 2000 (FOIA) by providing guidance and explanation of the process by which Essex Police and Kent Police handle ‘requests for information’ (RFIs) made in accordance with the provisions of the Act.
Compliance with this procedure/SOP and any governing policy is mandatory.

3.0 Detail the Procedure/SOP

3.1 Background

3.1.1 Individuals already have the right to personal information about themselves under the Data Protection Act 2018 and the UK GDPR (known as ‘right of access’). The FOIA extends this right to all types of non-personal information, subject to exemptions, held by public authorities including the two police forces.

3.1.2 Requests for Information (RFIs) are expected to be in written format, either through SOH, relevant websites or by email, or letter. An RFI does not have to be in written form if the individual is disabled. In this case the public authority will accept a request in an accessible way e.g., by taking the RFI over the phone.

3.1.3 Anyone who submits an RFI to a public authority for information must, subject to certain exemptions, be informed whether the public authority holds that information and be supplied with that information within twenty working days.

3.1.4 The APP (Authorised Professional Practice) is supported by the National Police Freedom of Information and Data Protection Unit (NPFDU), created and ratified by Chief Constables in the UK. The NPFDU act as a national co-ordination body providing advice and support to forces and stakeholders. This includes centrally coordinating between forces, national portfolio leads and other stakeholders including relevant government bodies, to ensure a national approach. The forces’ Freedom of Information (FOI) teams maintain regular liaison with the National Police Freedom of Information and Data Protection Unit (NPFDU) referrals are made in respect of referral criteria and if advice and support needed by the local force.

3.1.5 Essex Police’s Information Rights Team, and Kent Police’s FOI section have additional documentation which is subject to regular review and update. The documentation contains details of contact and force leads. Documentation is also held regarding the current stance in respect of subject matters.

3.2 Publication Scheme

3.2.1 Public authorities are required to adopt and maintain a publication scheme setting out the classes of information they hold, how the information will be published and whether a charge will be made for providing it. The purpose of the scheme is to ensure that a significant amount of information is made available without the need for a specific RFI. Essex Police have a publication strategy and maintain a log of published documents with review timescales set for each publication.
Upon creation of a publication article, documentation is produced by the Information Rights Team for direct creation on the external website.

3.2.2 For Kent Police, Corporate Communications are responsible for overall co-ordination and management of the scheme to ensure that it complies with requirements under the Act whilst maintaining the corporate image. For Essex Police, the overall co-ordination and management of the scheme is undertaken by the Information Rights Manager, Information Management.

3.2.3 Essex Police’s Information Rights Team are responsible for ensuring contributions to the scheme are appropriate, accurate, up to date and ultimately weeded in accordance with the forces’ disposal schedules.

3.3 Requests for Information (RFIs)

3.3.1 All recipients of written RFIs (whether by letter, email, text or social media) citing the Freedom of Information Act 2000 or meeting the definition of such a request, will ensure the RFI is forwarded, without delay, to the relevant force’s FOI team (see 3.3.3) which will acknowledge receipt within 6 working days.

3.3.2 The FOI team will liaise with the owner(s) of the information to progress the RFI.

3.3.3 Information owners tasked with supplying information to either the Public Disclosure Team (Kent) / Information Rights Team (Essex) must do so within the period specified in the tasking, usually 5 working days in Kent, (10 days in exceptional cases) and 9 working days in Essex, even where retrieval of the information has been delegated. Instructions are given to recipients that if the recipient is incorrect then the recipient should forward the email to the appropriate person the deadline date remains static. This deadline must not be extended without the consent of the FOI team.

3.3.4 It is an offence under section 77 of the FOIA for any person to alter, deface, block, erase, destroy or conceal any record with the intention of preventing disclosure under the Act. The offence attracts personal liability as well as liability for the Chief Constables as public authorities under the Act. Departments must disclose requested information to the FOI team so that the FOI team can establish the harm in disclosure. If deemed necessary, the FOI team may extract data using an IT tool from mailboxes, SharePoint and messaging services.

3.3.5 A fully auditable record of events will be maintained by the Public Disclosure Team (Kent) / Information Rights Team (Essex team).

3.3.6 Once Kent Police’s Public Disclosure Team has processed the RFI and drafted a response proposing disclosure of information, the approval authority levels are set out in a published approval process, approval must be obtained before the response is sent to the applicant. There is no such requirement in Essex Police.

3.3.7 Where information requested is required, by the applicant, to be released in an alternative format e.g., large print, braille or a foreign language Corporate Communications (Kent Police) or Media Department (Essex Police) will be consulted.

3.3.8 Where RFIs are received concerning information held in collaborative departments shared by both forces the Public Disclosure Team (Kent) Information Rights Team (Essex) will liaise as is necessary over the management of the RFI.

3.4 Fee Regulations and Charging for an RFI

3.4.1 The Freedom of Information APP includes clear guidance on all aspects of costs of compliance attributable to an RFI which must be followed.

3.4.2 Disbursements (as defined in the APP) can be charged in full but will only be applied in exceptional circumstances (i.e., where significant costs are to be incurred) and after the applicant has been notified of this charge.

3.4.3 When the cost exemption is applied, Kent and Essex Police hold a position that a payment will not be accepted to facilitate the completion of an ‘excessive cost’ RFI, under Section 16 of the Act refinement advice is provided where appropriate. This position is taken with a view of fairness and equality to access information held.

3.5 Transfer of RFIs and Consultation with Third Parties

3.5.1 Where it becomes clear a RFI seeks information held by another public authority Kent Police or Essex Police will provide the details of that public authority to the requestor for them to make contact. Unless that data is held by the Office of the Police and Crime Commissioner (OPCC), in Kent, and the Office of the Police, Fire and Crime Commissioner (OPFCC), in Essex, in which case it would be transferred to the respective bodies with the approval of the requestor.

3.5.2 Where there is information held by Essex Police or Kent Police on behalf of a third party that is liable to be disclosed, contact will be made by the Public Disclosure Team (Kent) / Information Rights Team (Essex) with that other public authority or person.

3.6 Refusing a RFI and Applying Exemptions

3.6.1 Although the emphasis is on disclosure, the FOIA contains exemptions which may be used by the forces to withhold information from release into the public domain, usually where that disclosure would result in harm.

3.6.2 The Public Disclosure Team (Kent) / Information Rights Team (Essex) will be responsible for determining whether any RFI should be refused under the terms of the FOIA or if exemptions should be applied to aspects of responses.

3.6.3 Any RFI with national implications for the police service or national stakeholders will be considered for possible referral. See 3.1.4.

3.6.4 RFIs deemed vexatious may be considered for referral to the CRU.

3.6.5 Where the cost of compliance with an RFI is estimated to exceed the prescribed limit (£450 equating to 18 staff hours) steps should be taken where reasonably possible to negotiate a reduction in the scope of the RFI sufficient to bring it below the prescribed limit, in accordance with the Freedom of Information Act APP.

3.7 Business as Usual

3.7.1 It is established practice that public authorities do not submit RFIs to other public authorities. Instead, RFIs for information are dealt with as ‘business as usual’, following established procedures.

3.8 Staff RFIs under FOIA

3.8.1 Officers and members of staff are entitled to request information using the provisions of the FOIA, however a personal RFI to any public authority, including Essex Police or Kent Police, must not be initiated from a force email address (internally or externally) or be written on any document bearing the forces’ details.

3.9 The Appeals/Complaints Process

3.9.1 Advice will be given to the public to direct complaints relating to FOI to the Public Disclosure Team (Kent) / Information Rights Team (Essex), but when complaints are received elsewhere, they must be forwarded to the FOI team immediately. Where this is not possible by digital means, original documents must be sent for the attention of the FOI team, and a copy faxed to the team on the day received.

3.9.2 The Freedom of information APP will form the basis for how Essex Police and Kent Police handle complaints that relate to FOI issues.

3.9.3 At all stages of the process, a full record of events must be maintained, including but not limited to, the actions, discussions and decisions made. It should be noted that such documentation would be required as evidence in the event of the complaint being escalated to the Information Commissioner or First Tier Tribunal.

3.9.4 At all stages of the process, where appropriate, the complainant must be kept up to date with developments.

3.9.5 In normal cases, within Kent Police the Senior Public Disclosure Officer or Data Protection Officer will be the reviewing officer. Within Essex Police the line manager of the person who dealt with the RFI will undertake ‘internal reviews’ of cases where the applicant has made a complaint over the force’s response to that RFI. Cases will be further escalated as is necessary to either the Head of Information Management or the Force Data Protection Officer.

3.9.6 Anyone involved in the FOI complaints process identifying a complaint, which could be considered a complaint against police in the terms of the Police Reform Act 2002 should immediately inform the Data Protection Officer (Kent Police) or Information Rights Manager (Essex Police) who will pass relevant details to the respective Professional Standards Department (PSD) as soon as practicable following consultation, as appropriate, with any other decision-making officer involved in the complaints process. The complainant will be advised of the situation. Where PSD is involved, the processes will continue in tandem, with liaison between PSD and the Data Protection Officer or Information Rights Manager, to ensure that the respective timescales for both processes are maintained. In all cases, PSD and the Data Protection Officer or Information Rights Manager will keep the complainant up to date in their respective tasks.

3.9.7 Production of statistics – statistics are regularly requested by NPFDU in respect of requests and compliance, these will be regularly published via the NPFDU website and through Kent Police and Essex Police Publication schemes.

4.0 Equality Impact Assessment

• EIA – April 2023

5.0 Risk Assessment

5.1 There is an overall risk concerning the use and management of Essex Police and Kent Police information. Advice and guidance relating to the assessment of risk is contained within the individual procedures/SOPs. The Corporate Risk Register will contain any risks in relation to Information Security.

6.0 Consultation

6.1 The following were invited to consult during the formulation of this document:

• Unison / Federation
• Diversity / H&S
• PSD
• The Information Management Boards (IMB’s) for Essex and Kent.
• Business Services

7.0 Monitoring and Review

7.1 The forces’ partnership lead departments will be responsible for ensuring that the procedure/SOP will remain current in line with HMG and NPCC policy.

7.2 This procedure/SOP will be reviewed by, or on behalf of, the forces’ SIROs every year.

8.0 Governing force policy.

Related force policies or related procedures (Essex) / linked standard operating procedures (Kent)
8.1 Data Security

8.1.1 Essex Police and Kent Police have measures in place to protect the security of data in accordance with our Information Management Policy – W 1000 Policy – Information Management.

8.2 Retention & Disposal of Records

8.2.1 Essex Police and Kent Police will hold data in accordance with our Records Review, Retention & Disposal Policy – W 1012 Procedure/SOP - Records Review, Retention and Disposal.

8.2.2 We will only hold data for as long as necessary for the purposes for which we collected.