Internal Review Procedure
(Requests for information access and re-use)
Description:
Procedure for the internal review of information access/re-use requests
submitted to TfL or its subsidiaries, in accordance with the following
pieces of legislation:
Freedom of Information Act 2000
Data Protection Act 1998
Environmental Information Regulations 2004
Re-Use of Public Sector Information Regulations 2005
Author:
Information Access & Compliance Team (Corporate Governance
Directorate, General Counsel)
Approved:
1 October 2008
1. Purpose
This procedure is primarily intended to outline the mechanism through which
complaints about the handling of information access/re-use requests are to be
investigated and addressed. However, it also applies where an incident of non-
compliance (with a statutory requirement applicable to such requests) has been
identified internally, in the absence of an external complaint.
2. Definitions
Case Management Teams
TfL’s four main Customer Service Teams (Central
Customer Services, Surface Transport Customer
Services, London Underground Customer Service
Centre, Oystercard Helpdesk)
IACT
TfL’s Information Access & Compliance Team
Information Access Request
Any request for information covered by the provisions
of the Freedom of information Act 2000, the
Environmental Information Regulations 2004 and the
Data Protection Act 1998
Information Commissioner
The regulator appointed by Parliament who enforces
the provisions of information access legislation
Information Compliance
A TfL employee acting as the subject matter expert for
Stakeholder
information compliance issues affecting their area of
the business (a list of these individuals is maintained by
IACT)
Information Re-use Request
Any request to re-use information produced by TfL
(covered by the Re-use of Public Sector Information
Regulations 2005)
Office of Public Sector
The regulatory body which enforces the provisions of
Information (OPSI)
information re-use legislation
Review Panel
The panel of one or more individuals who will assess
the merits of a complaint covered by this Procedure
TfL
Transport for London and its wholly owned
subsidiaries (including: London Underground Ltd,
Crossrail, London Bus Services Ltd, Docklands Light
Railway Ltd, London River Services Ltd, London Buses
Ltd (trading as East Thames Buses/ Dial-a-Ride),
Victoria Coach Station Ltd and London Transport
Museum Ltd)
3. Organisational scope
Compliance with this procedure is a requirement for all business units and employees
of TfL. Failure to comply with this procedure or to implement any consequential
changes to TfL policy or procedure, may result in TfL (or individual employees),
operating in breach of the law and being made subject to financial or other serious
penalties imposed by the Information Commissioner or OPSI.
4. Context
This procedure applies to all types of information access/re-use requests, as outlined
below:
4.1
General requests for access to information
4.1.1 The “Code of Practice on the Discharge of Public Authorities' Functions under
Part I of the Freedom of Information Act 2000” (issued by the Secretary of
State for Constitutional Affairs under section 45 of the Freedom of Information
Act), obliges TfL to have in place a complaints process to ensure that
applicants can request an internal review of the way in which their information
access request has been handled. It is therefore essential that TfL adheres to
this internal review procedure, and that TfL employees involved in processing
such requests are aware of its contents.
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4.1.1 Section 17(7)(a) of the Freedom of Information Act states that the existence of
such an internal review procedure must be communicated to any individual
whose information access request has been unsuccessful (as a matter of policy
TfL has decided to communicate this information to any individual who has
submitted an information access request). TfL must also explain how the
individual should go about submitting their complaint.
4.1.2 It is also important to note that under section 50 of the Act any person may
apply to the Information Commissioner for a decision as to whether a request
for information has not been dealt with in accordance with the requirements of
the Act. Subsection (2) goes on to state that the Commissioner will only issue a
decision if the complainant has already exhausted the complaints procedure
provided by the public authority in accordance with its obligations under the
section 45 Code of Practice.
4.2
Requests for access to environmental information
4.2.1 The “Code of Practice on the discharge of the obligations of public authorities
under the Environmental Information Regulations 2004” (issued by the
Secretary of State for the Environment, Food & Rural Affairs under Regulation
16 of the Regulations), also requires public authorities such as TfL, have in
place a complaints process to ensure that applicants can request an internal
review of the way in which an information access request relating to
environmental information has been dealt with. It is therefore essential that
TfL adheres to this internal review procedure, and that TfL employees involved
in processing such requests are aware of its contents.
4.2.2 The Code of Practice also states that the existence of such an internal review
procedure must be communicated to any individual whose information access
request has been unsuccessful (as a matter of policy TfL has decided to
communicate this information to any individual who has submitted an
information access request). TfL must also explain how the individual should
go about submitting their complaint.
4.2.3 Again, a complainant must have exhausted the internal review process
provided by TfL before they are able to take their complaint to the Information
Commissioner’s Office.
4.3
Requests for access to personal information
4.3.1 There is no external requirement for an organisation to have in place an internal
review procedure for the consideration of complaints about the handling of
requests for access to personal information (either by the individual to whom
the information relates, or by an authorised third party), however TfL has
chosen to apply this procedure in such circumstances as a matter of policy.
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4.4
Requests to re-use information created by TfL
4.4.1 Regulation 17 of the Re-use of Public Sector Regulations 2005 requires public
authorities such as TfL, to have in place a complaints process to ensure that
applicants can request an internal review of the way in which their information
re-use request has been dealt with. It is therefore essential that TfL adheres to
this internal review procedure, and that TfL employees involved in processing
such requests are aware of its contents.
4.4.2 The “The Re-use of Public Sector Information: A Guide to the Regulations and
Best Practice” (issued by OPSI), states that the existence of such an internal
review procedure must be communicated to any individual whose information
re-use request has been unsuccessful (as a matter of policy TfL has decided to
communicate this information to any individual who has submitted an
information re-use request). TfL must also explain how the individual should go
about submitting their complaint.
4.4.3 Where an individual has exhausted this internal review procedure in respect of
a complaint about the handling of their information re-use request (or where
TfL has failed to deal with such a complaint within a reasonable time), they
may refer their complaint to OPSI.
5. Procedure
5.1
Individuals who have submitted information access requests may be unhappy
with the way in which TfL has handled their request if, for example:
their application was not dealt with within the statutory 20 working days
they did not receive all of the information requested
they feel that exemptions have been wrongly applied to the information
they feel that a fee has been wrongly charged for the information
It is important to be aware that the internal review process is an opportunity to
consider an information access request completely afresh. The review process
may also be a trigger for the involvement of IACT, Press Office, or the
Commissioner’s Office, for the first time.
5.2
If you receive a specific or implicit complaint (ie any written communication,
including one transmitted electronically, expressing some kind of
dissatisfaction with TfL’s response to an information access/re-use request)
from an individual who has previously submitted an information access/re-use
request you must immediately forward details of the complaint to IACT using
the following contact details:
Information Access & Compliance Team
Corporate Governance Directorate
Floor 5, Windsor House
42-50 Victoria Street
London SW1H 0TL
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Email:
[TfL request email]
Telephone: 63222 (external: 020 7126 3222)
Fax:
63185 (external: 020 7126 3185)
5.3
What happens once a complaint has been received by IACT
5.3.1 In all cases, complaints will be acknowledged and the complainant informed of
TfL's target date for providing a response to their complaint. If it becomes
apparent that the provision of a response will take longer than the target date
(for example because of the complexity of the particular case), IACT will inform
the applicant and explain the reason for the delay.
5.3.2 IACT will request copies of all material (documents, emails, etc) connected
with the processing of the request. They will also request copies of any
information held by TfL which relates to the original request, whether or not it
was disclosed to the complainant. If necessary, IACT will contact individual
employees involved in the processing of the request, to seek clarification on
the facts surrounding the handling of the request and any decisions made in
relation to the way it was handled by the business.
5.3.3 All TfL employees are expected to cooperate fully with IACT’s investigation of
a complaint under this Procedure and to provide full access to all relevant
information.
5.3.4 Once all of the relevant background information has been collected, IACT will
prepare a chronology and a written summary of the facts surrounding the
handling of the request, for the Review Panel. IACT will also attach to this
summary the original requests and any other relevant documents (together
with a copy of any information held by TfL which forms the focus of the
complainant’s request).
5.4
Who will conduct the internal review
5.4.1 Internal reviews will be conducted by a panel of one or more individuals who
were not involved in the processing of the information access or re-use
request which forms the focus of the complaint.
5.4.2 Review Panel members will be drawn from one or more of the following
groups:
TfL General Counsel
Information Compliance Stakeholders from within TfL business units
Panel members must not have previously been involved in the handling of the
complaint or the original request to which it relates.
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5.5
How an internal review is conducted
5.5.1 Internal reviews are intended not to be overly bureaucratic and will be
conducted as a fair and impartial means of reviewing decisions made during
the original consideration of whether to release/permit the re-use of, TfL
information.
5.5.2 The Review Panel will review the chronology, written summary of the facts and
any supporting documentation, prepared for them by IACT. Where appropriate
the Panel will consider any information released against the information
requested, to identify and analyse differences between the two. If necessary,
the Panel may also choose to discuss the handling of the request with the
employees who were originally involved in dealing with it, in order to build a
full picture as to how decisions were made.
5.5.3 The Panel will be supported by a facilitator from IACT who will minute their
discussions/decision, liaise with the complainant and ensure that the Panel’s
recommendations are subsequently actioned. An accurate record of the review
process is essential given the possibility of a subsequent investigation by the
Information Commissioner or OPSI.
5.6
Timescales for the internal review process
5.6.1 Internal reviews have to be completed within a reasonable timescale. In
accordance with statutory requirements and best practice TfL has adopted
the following targets for the conduct of an internal review and the provision of
a final response to the complainant:
Written acknowledgment of a complaint should be sent within 5 working
days of receipt and include a target date for the completion of the internal
review process
Routine complaints should be dealt with (and a final response sent to the
complainant) within 20 working days of receipt
Complex complaints requiring an extension to this deadline (for example
because of a need to gather a large amount of supporting information)
should be dealt with (and a final response sent to the complainant) within a
maximum of 40 working days of receipt.
5.6.2 If it becomes clear at any stage of the internal review that TfL will have to
extend the deadline set in the original acknowledgment, IACT will
communicate this to the complainant and set a revised deadline by which TfL
will respond. Every effort must then be made by TfL to ensure that this
deadline is met.
5.7
Possible outcomes of an internal review
5.7.1 An internal review can have three possible outcomes:
The original decision is reversed
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The original decision is upheld
The original decision is partially upheld
In addition, the Review Panel will seek to identify problems or failings with the
processes or procedures within any business unit involved in responding to the
original information access request.
5.7.2 Where the original decision is reversed, in full or in part, the applicant must be
informed, and told when they can expect the information originally requested
to be provided to them (or if applicable, provided with details of a license and
associated fee for the requested re-use of the information).
5.7.3 Where the original decision (to withhold all or part of the information
requested or refuse permission for re-use) is upheld, or the Panel does not find
any deficiencies in the general handling of the information access request, the
applicant must be told of their decision and made aware of their further right of
appeal to either the Information Commissioners Office or OPSI as appropriate
(full contact details for the relevant body will also need to be provided to the
complainant).
5.7.
After the internal review is complete, IACT will discuss the Review Panel’s
conclusions with the business unit(s) concerned and ensure that any internal
processes which may need to be updated are fully reviewed. This situation may
arise regardless of whether the original decision is reversed or upheld. IACT will
also work with managers within the business unit to address any training needs
identified during the Internal Review process or subsequent discussions.
5.8
Monitoring complaints and internal reviews
5.8.1 Records are kept of the outcome of all internal reviews. IACT monitors the
volume and nature of complaints regarding the handling of information access
requests and where necessary, will conduct detailed assessments of local
request handling procedures to enable it to make recommendations for
improvements and address patterns of non-compliance with relevant
information access or re-use legislation.
5.8.1 In circumstances where patterns of non-compliance with relevant legislation or
associated policies and procedures are identified, Internal Audit may be also be
asked to conduct further, more detailed analysis of the performance of
individual TfL business units.
5.9
External investigations of complaints against TfL
5.9.1 Any complaint about TfL’s handling of an information access/re-use request
may eventually be escalated to an external regulator (either the Information
Commissioner or OPSI), in such circumstances IACT is responsible for
liaising with the investigating authority, collating any supporting evidence and
preparing TfL’s formal response.
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5.9.2 If TfL receives a written communication (including one transmitted
electronically) connected with an information access/re-use request, from the
Information Commissioner’s Office or OPSI it must immediately be forwarded
to IACT using the contact details provided in paragraph 5.2 of this Procedure.
5.9.3 TfL is legally obliged to cooperate with such an investigation and all TfL
employees are expected to cooperate fully with any request from IACT to
assist in the preparation of a response and to provide full access to all relevant
information.
6. Local procedures/supplementary guidance
Any advice and guidance produced by individual modes or business units within TfL (or
its subsidiary companies), on the application of this procedure within their area of
operations, must be approved by the Head of Information Access & Compliance prior
to publication.
7. Approval
This procedure was revised and approved by General Counsel (the relevant TfL Chief
Officer) on 1 October 2008.
8. Review
This procedure will be subject to review as deemed appropriate by the Head of
Information Access & Compliance, with any necessary amendments requiring approval
by General Counsel prior to implementation.
9. Procedure owner
The Head of Information Access & Compliance is the designated owner of this
procedure.
10. Contact details
For advice and guidance on the contents and application of this Procedure, please
contact:
Information Access & Compliance Team
Corporate Governance Directorate
Floor 5, Windsor House
42-50 Victoria Street
London SW1H 0TL
Email:
[TfL request email]
Telephone:
63222 (external: 020 7126 3222)
Fax:
63185 (external: 020 7126 3185)
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