DOCUMENTING EXEMPTIONS & EXCEPTIONS UNDER THE FREEDOM OF
INFORMATION ACT 2000/ENVIRONMENTAL INFORMATION REGULATIONS 2004
Status/Version: 1.0.
Effective: 08 Oct 08
Review Date: 08 Oct 09
1.
AUDIENCE ……………………….
3
2.
OBJECTIVE
……………………….
3
3.
APPLYIN
EXEMTIONS/EXCEPTIONS
……………………….
3
4.
THE EXEMPTIONS/EXCEPTIONS PROCESS
………………………. 3
5.
POSSIBLE EXEMPTIONS /EXCEPTIONS TO APPLY ………………………. 4
6.
THE
PROCESS
ILLUSTRATED
……………………….
5
7.
DOCUMENTING
THE
DECISION ……………………….
6
8.
DOCUMENT
HISTORY
……………………….
7
1. AUDIENCE
a)
Departmental Information Governance Lead Officers ("DIGLO")
b)
Directorate business specialists
c)
Appeal Panel Members
2. OBJECTIVE
The objective is to ensure that all Coventry City Council ("The Council") follows appropriate
processes that meet the requirements on legislation and adequately protect the Council’s
interests.
3. APPLYING
EXEMPTIONS/EXCEPTIONS
In general, if the information requested is available, current and in a form to be disclosed, the
employee responsible will provide this. If the information is not subject to any exemptions, then
release it.
If disclosure is to be withheld, there are two types of exemptions, absolute and qualified, which
apply to FOI. A set of Exceptions-all qualified- also exist under EIR. Guidance on Exemptions &
Exceptions themselves is contained in FOI & EIR Guidance Notes ()
3.1
Details of the Directorate Case
In all instances, where a Directorate intends to withhold information, it is for the Directorate to
make a clear case for this, considering the case both for and against disclosure. A valid FOI
exemption or EIR exception must also be cited.
When doing this, the Departmental Information Governance Lead Officer (DIGLO) must refer to
and seek approval of t
he Information Governance Team (IG) before considering applying FOI
Exemptions and EIR Exceptions or making any response refusing disclosure.
3.2 Absolute (unconditional) exemptions These apply to FOI only. They can be applied to information that does not have to be released to
the applicant either because it is already publicly-available (in the Council's
Publication Scheme
for example.
Information to which an absolute exemption applies does not require the Council to take a public
interest test, although DIGLO should apply the following procedures to ensure that the decision to
use is appropriate and can be justified if challenged in future.
3.3 Qualified (conditional) exemptions/exceptions These exist in FOI but will also apply to all EIR Exceptions – Information to which a qualified
exemption/EIR Exception applies requires the Council to take a test of prejudice or to
demonstrate that the balance of public interest is in favour of non-disclosure.
4. THE
EXEMPTION/EXCEPTION
PROCESS
When applying an exemption or exception, a copy of the pro forma provided at
5. Documenting
the Decision (attach extra sheets as required) should be completed by the relevant DIGLO, in
consultation with IG and with input if required from a Directorate Business Specialist or a Legal
Representative advising the Directorate.
Exemption/Exception(s) being claimed must be clearly identified in the tables below, together with
the particular information they are being applied to.
When the Directorate involved responds to the request for information (and withholds disclosure
of some or all the requested information) the completed pro forma should be kept with a copy of
the information disclosed and withheld in response to the request. In the event of a complaint or
appeal being received by the Council, this will form a major part of the case to be considered.
In addition, in all cases where information is withheld, a refusal letter must be issued.
This must include a statement that the applicant has a right of appeal. (Note: Appeals against
refusals to disclose are covered in a separate guidance note).
5.
POSSIBLE EXEMPTIONS/EXCEPTIONS TO APPLY
5.1
FOI EXEMPTIONS
(Text in brackets indicates whether a PI test is required Absolute-no,
Qualified-yes)
Section 21
Information accessible to the applicant by bother means (Absolute)
Section 22
Information Intended for Future Publication (Qualified)
Section 30
Investigations and Proceedings Conducted by Public Authorities (Qualified)
Section 31
Law Enforcement (Qualified)
Section 33
Audit Functions (Qualified)
Section 36
Prejudice to Effective Conduct of Public Affairs (Qualified)
Section 37
Communications with Her Majesty, etc Honours (Qualified)
Section 38
Health and Safety (Qualified)
Section 39
Environmental Information (Absolute)
Section 40
Personal Information (Absolute)
Section 41
Information Provided in Confidence (Absolute)
Section 42
Legal Professional Privilege (Qualified)
Section 43
Commercial Interests (Qualified)
Section 44
Statutory prohibition on disclosure (Absolute)
5.2
EIR EXCEPTIONS (All Qualified)
1
The information requested is not held by the Council
2
The request is manifestly unreasonable
3
The request is too general. (Please ensure advice and assistance was provided to
the applicant);
4
The request concerns internal communications;
5
Disclosure would adversely affect:
Confidentiality of the Council's proceedings;
International relations, public security or national defence;
The course of justice, the ability of any person to receive a fair trail or the
ability of the Council to receive a fair trial;
Confidentiality of commercial/industrial information;
Intellectual
property
rights;
Confidentiality of personal data/files;
The interests or protection of any person who supplied the information on a
voluntary basis;
The information relates to the protection of the environment.
6. THE PROCESS ILLUSTRATED
Identify information for exemption
If absolute (FOIA):
If non absolute (FOIA
& EIR):
¾
Consult with IM
¾
Identify exemption
¾
Consult with IM
¾
Complete Pro forma
¾
Identify exemption
¾
Withhold disclosure
¾
Complete Pro forma
¾
Test Public Interest
(PI)
If withhold:
If disclose:
¾
Document
¾
Document
¾
Withhold
¾
Disclose
Inform requester
¾
Withhold/disclose
¾
Document fully
¾
Close request
7 DOCUMENTING THE DECISION
RFI Number:
REASON(S) FOR DIRECTORATE CLAIMING EXEMPTION(S)/EXCEPTION(S)
INFORMATION REQUESTED FOR
EXCEPTION/EXEMPTION APPLIED
EXCEPTION/EXEMPTION
Release of information is not recommended because:
For
disclosure:
Against
disclosure:
Signed: Name:
Directorate:
Date:
8 DOCUMENT
HISTORY
Version History
Version Status
Date
Author
Comments
0.0.1
Initial draft for IG
10/03/08
Information Redacted
consultation
0.0.2 Draft for DIGLO
27/03/08
Information Redacted
consultation
0.0.3
Draft incorporating IG & 29/04/08
Information Redacted
DIGLO feedback
0.0.4 Final
draft
07/08/08
Information Redacted
1.0 FINAL
08/10/08
Information Redacted
Review
Name Role
Business
Area
Information Information Governance Team
Information Governance, Contracts & Governance
Redacted
Leader
Information Senior Solicitor
Finance & Legal Services
Redacted
Distribution (Primary)
Name Directorate
Format
Version
Date
DIGLO All
Electronic
0.0.2
04/04/08
DIGLO All
Electronic
0.0.4
07/08/08
Distribution (Copies)
Name Directorate
Format
Version
Date
ALL
ALL ELECTRONIC
1.0
STAFF
.
Document Outline