Information and enforcement notices

Jules Mattsson made this Freedom of Information request to Information Commissioner's Office

This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.

The request was successful.

Dear Information Commissioner’s Office,

Could you please provide the following information:

- Copies of all enforcement notices issued relating to FOI/EIR
- Copies of all information notices issued relating to FOI/EIR

- On what occasions has the ICO exercised its power to certify to the high court or court of session the failure to comply with an information, enforcement or decision notice? Please say which authority and notice (either published DN or disclosed IN/EN etc) each relates to and the outcome as well as dates etc

- I'm aware that there is a form for case officers to request an information notice, what is the process for FOI/EIR requesting an enforcement notice be considered? Please provide copies of any guidance / forms / policy etc
- If a request form or similar document / queue / process exists for requesting an enforcement notice, could you please provide copies of all submitted requests including details of which public authority?

I'd like to ask this please be provided in electronic format and if you anticipate some parts of the request being refused or causing issues with the cost limit or similar, please disclose the remainder of the information and provide any advise and assistance that you can.

I would ask these be considered as separate requests for cost limit purposes should there be any issue there, and have only sent them together for simpolicy.

Thanks,
Jules

AccessICOinformation, Information Commissioner's Office

Thank you for contacting the Information Commissioner’s Office. We confirm
that we have received your correspondence.

 

If you have made a request for information held by the ICO we will contact
you as soon as possible if we need any further information to enable us to
answer your request. If we don't need any further information we will
respond to you within our published, and statutory, service levels. For
more information please visit [1]http://ico.org.uk/about_us/how_we_comply

 

If you have raised a new information rights concern - we aim to send you
an initial response and case reference number within 30 days.

 

If you are concerned about the way an organisation is handling your
personal information, we will not usually look into it unless you have
raised it with the organisation first. For more information please see our
webpage ‘raising a concern with an organisation’ (go to our homepage and
follow the link ‘for the public’). You can also call the number below.

 

If you have requested advice - we aim to respond within 14 days.

 

If your correspondence relates to an existing case - we will add it to
your case and consider it on allocation to a case officer.

 

Copied correspondence - we do not respond to correspondence that has been
copied to us.

 

For more information about our services, please see our webpage ‘Service
standards and what to expect' (go to our homepage and follow the links for
‘Report a concern’ and ‘Service standards and what to expect'). You can
also call the number below.

 

If there is anything you would like to discuss with us, please call our
helpline on 0303 123 1113.

 

Yours sincerely

 

The Information Commissioner’s Office

 

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Dear Information Commissioner’s Office,

That should, obviously, have said 'for simplicity' st the end. Apologies.

Jules

AccessICOinformation, Information Commissioner's Office

Thank you for contacting the Information Commissioner’s Office. We confirm
that we have received your correspondence.

 

If you have made a request for information held by the ICO we will contact
you as soon as possible if we need any further information to enable us to
answer your request. If we don't need any further information we will
respond to you within our published, and statutory, service levels. For
more information please visit [1]http://ico.org.uk/about_us/how_we_comply

 

If you have raised a new information rights concern - we aim to send you
an initial response and case reference number within 30 days.

 

If you are concerned about the way an organisation is handling your
personal information, we will not usually look into it unless you have
raised it with the organisation first. For more information please see our
webpage ‘raising a concern with an organisation’ (go to our homepage and
follow the link ‘for the public’). You can also call the number below.

 

If you have requested advice - we aim to respond within 14 days.

 

If your correspondence relates to an existing case - we will add it to
your case and consider it on allocation to a case officer.

 

Copied correspondence - we do not respond to correspondence that has been
copied to us.

 

For more information about our services, please see our webpage ‘Service
standards and what to expect' (go to our homepage and follow the links for
‘Report a concern’ and ‘Service standards and what to expect'). You can
also call the number below.

 

If there is anything you would like to discuss with us, please call our
helpline on 0303 123 1113.

 

Yours sincerely

 

The Information Commissioner’s Office

 

Our newsletter

Details of how to sign up for our monthly e-newsletter can be found at
[2]http://www.ico.org.uk/tools_and_resource...

 

Twitter

Find us on Twitter at [3]http://www.twitter.com/ICOnews

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

References

Visible links
1. http://ico.org.uk/about_us/how_we_comply
2. http://www.ico.org.uk/tools_and_resource...
3. http://www.twitter.com/ICOnews

Information Commissioner's Office

2 Attachments

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

I write further to your 3 July 2017 email in which you submitted an
information request to the ICO. We have dealt with your request under the
Freedom of Information Act 2000 (FOIA) and our response is below.
 
Your request
 
In your email you asked;
 
“Could you please provide the following information:

- Copies of all enforcement notices issued relating to FOI/EIR
- Copies of all information notices issued relating to FOI/EIR

- On what occasions has the ICO exercised its power to certify to the high
court or court of session the failure to comply with an information,
enforcement or decision notice? Please say which authority and notice
(either published DN or disclosed IN/EN etc) each relates to and the
outcome as well as dates etc

- I'm aware that there is a form for case officers to request an
information notice, what is the process for FOI/EIR requesting an
enforcement notice be considered? Please provide copies of any guidance /
forms / policy etc
- If a request form or similar document / queue / process exists for
requesting an enforcement notice, could you please provide copies of all
submitted requests including details of which public authority?”
 
Our response
 
I can confirm we hold information within the scope of your request and our
response to each point is detailed below.

 
*“Copies of all enforcement notices issued relating to FOI/EIR”

This information is exempt from disclosure under section 21 of the FOIA as
it is reasonably accessible to you by other means. This is because copies
of all enforcement notices issued in relation to FOIA/Environmental
Information Regulations 2004 (EIR) are available at the following links:
 
Department of Finance and Personnel for Northern Ireland June 2015:
 
[1]http://webarchive.nationalarchives.gov.u...
 
 
Independent Police Complaints Commission (IPCC) June 2010 and Legal
Secretariat to the Law Officers May 2006:
 
[2]http://webarchive.nationalarchives.gov.u...
 
 
Allerdale Borough Council October 2003:
 
[3]https://ico.org.uk/about-the-ico/our-inf...
 
 

*Copies of all information notices issued relating to FOI/EIR
 
I have attached to this email the first of several PDF documents
containing copies of the information notices we hold which were issued in
relation to FOI/EIR cases. Due to the size of the pdf attachments
containing the information and limitations on our system the rest of the
information will be provided across separate emails.
 
Please note that these notices are held on our case management system. We
generally delete cases 2 years following the last action on a case unless
a case has been marked for preservation, which is in line with our
retention schedule. Where possible we have provided you with the signed
copy of the information notices. Where we do not appear to hold a signed
copy but we are certain that the notice was issued we have provided you
with the final version held on the case.
 
You will see that we have redacted a small amount of information from this
disclosure.  We are withholding personal data including the names and
addresses of complainants, personal data relating to third parties and
signatures.  We are withholding this information under section 40 (2) by
virtue of section 40 (3) (a) (i) which is the exemption under FOIA
concerning personal information and I have explained this exemption
further below.
Where the complainant is an organisation rather than a named individual we
have still withheld the name of the complainant. This is because the FOI
is applicant blind and as such those requesting information under FOI or
complaining to the Commissioner about how their request has been handled
would not expect this information to be disclosed to the world at large.
This information is being withheld in accordance with section 31(1)(g) of
the FOIA and this is explained below. 
We have also withheld a small number of information notices relating to
open cases where it is felt that the disclosure of the information notice
at this point would be likely to prejudice the progress of the case. This
information is also being withheld under section 31(1)(g) of the FOIA.
 
 

*”On what occasions has the ICO exercised its power to certify to the high
court or court of session the failure to comply with an information,
enforcement or decision notice? Please say which authority and notice
(either published DN or disclosed IN/EN etc) each relates to and the
outcome as well as dates etc”
 
The Commissioner made a complaint to the High Court in relation to
Allerdale Borough Council’s failure to submit a Publication Scheme
following an enforcement notice being served on the Council. The link to
the relevant enforcement notice is listed above. The complaint was heard
in 2004 and the Commissioner was unsuccessful. 
 

 
*“I'm aware that there is a form for case officers to request an
information notice, what is the process for FOI/EIR requesting an
enforcement notice be considered? Please provide copies of any guidance /
forms / policy etc”

I have contacted our FOI Complaints and Appeals Department and our
Enforcement teams who have confirmed that we do not hold a recorded
process or policy for requesting an enforcement notice in relation to
complaints made to us about the handling of requests under FOIA/EIR.
 
To explain further, the issuing of decision notices and information
notices generally ensures that Public Authorities comply with their
obligations under the Act. Where there are specific concerns about a
Public Authority’s compliance with the FOIA/EIR this will be raised in
cross office meetings known as Tasking and Coordinating groups which are
attended by officers from various departments. This may lead to increased
engagement with our Policy and Engagement Department to provide advice and
support.
 
There is some guidance available on our intranet for case officers which
relates to enforcement notices. I have attached a copy of this guidance.
 

 
*”If a request form or similar document / queue / process exists for
requesting an enforcement notice, could you please provide copies of all
submitted requests including details of which public authority?”
 
As explained above, there is no recorded process for requesting an
enforcement notice. As such no information is held within the scope of
this part of your request.
 
 
Section 40
 
Section 40(2) of the FOIA allows a public authority to withhold
information from a response to a request when the information requested is
personal data relating to someone other than the requestor, and its
disclosure would contravene one of the Data Protection principles.
 
In this instance we consider that such a disclosure would be unfair to the
third party individual and in breach of the first Data Protection
principle which states that – “Personal data shall be processed fairly and
lawfully”.
 
Section 31
 
The exemption at section 31(1)(g) of the FOIA refers to circumstances
where the disclosure of information “would, or would be likely to,
prejudice – … the exercise by any public authority of its functions for
any of the purposes specified in subsection (2).” 
 
In this case the relevant purposes contained in subsection 31(2) are
31(2)(a) and 31(2)(c) which state –
 
“(a) the purpose of ascertaining whether any person has failed to comply
with the law” and
 “(c) the purpose of ascertaining whether circumstances which would
justify regulatory action in pursuance of any enactment exist or may arise
…”    
 
Clearly, these purposes apply when the Information Commissioner is
considering whether or not a data controller has breached the FOIA/EIR.
 
This exemption is not absolute. When considering whether to apply it in
response to a request for information, there is a ‘public interest
test’. That is, we must consider whether the public interest favours
withholding or disclosing the information.   
 
In this case the public interest factors in disclosing the information are

 

* Increased transparency in the way in which the ICO deals with
complaints reported to us.
* Increased transparency in the way Public Authorities are complying
with their obligations under FOIA/EIR.

The factors in withholding the information are –  
 

* The public interest in maintaining the ICO’s ability to conduct
investigations into FOIA/EIR complaints as it thinks fit.
* The public interest in ensuring that the ICO is able to have effective
and productive relationships with the Public Authorities we regulate
and that they continue to engage with us in an open, cooperative and
collaborative way without fear that information will be made public
prematurely or, as appropriate, at all.
* There is a strong public interest in maintaining the principal that
requests under the FOIA are applicant blind, meaning that
organisations would not expect their involvement in making requests to
be made public in this way.

 
Having considered all of these factors, and given the limited amount of
information being withheld, we have taken the decision that the public
interest in withholding the information outweighs the public interest in
disclosing it.
 
This concludes our response to your request and I hope this is helpful.

Next steps
 
If you are dissatisfied with the response you have received and wish to
request a review of our decision or make a complaint about how your
request has been handled you should write to the Information Access team
at the address below or e-mail [4][ICO request email].

Your request for internal review should be submitted to us within 40
working days of receipt by you of this response. Any such request received
after this time will only be considered at the discretion of the
Commissioner.
 
If having exhausted the review process you are not content that your
request or review has been dealt with correctly, you have a further right
of appeal to this office in our capacity as the statutory complaint
handler under the legislation. To make such an application, please visit
the ‘Concerns’ section of our website to make a Freedom of Information Act
or Environmental Information Regulations complaint online.
 
A copy of our review procedure is available here
[5]https://ico.org.uk/media/about-the-ico/p...
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 
 
 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

References

Visible links
1. http://webarchive.nationalarchives.gov.u...
2. http://webarchive.nationalarchives.gov.u...
3. https://ico.org.uk/about-the-ico/our-inf...
4. mailto:[ICO request email]
5. https://ico.org.uk/media/about-the-ico/p...

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

Information Commissioner's Office

1 Attachment

1 August 2017

 

Case Reference Number IRQ0688965

 

Dear J Mattssson,

Please find attached further information within the scope of your
information request.
 
I can confirm that this email provides the final attachment containing
information within the scope of your request.
 
Yours sincerely
 
Joanne Wright
Lead Information Access Officer
Information Commissioner’s Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire SK9 5AF

 

The ICO's mission is to uphold information rights in the public interest.
To find out more about our work please visit our website, or subscribe to
our e-newsletter at ico.org.uk/newsletter.

If you are not the intended recipient of this email (and any attachment),
please inform the sender by return email and destroy all copies without
passing to any third parties.

If you'd like us to communicate with you in a particular way please do let
us know, or for more information about things to consider when
communicating with us by email, visit ico.org.uk/email

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