Freedom of Information Policy

1. Statement of Policy

This Policy ensures that Dyfed-Powys Police meets and implements the legal requirements under the Freedom of Information Act (The Act) and the Environmental Inforamtion Regulations 2004, (Regulations). The Act and the Regulations set out the legislative requirements that the Force is required to comply with. In order to assist in ensuring compliance Dyfed-Powys Police will follow the College of Policing Authorised Professional Practice (APP) on Information Management – Freedom of Information. Additionally Dyfed Powys Police will follow guidance provided by the Information Commissioner’s Office (ICO) which will include the requirements set out within the ICO model Publication Scheme.

Dyfed-Powys Police adheres to the APP as the basis for its procedure in responding to requests and publishing data under the Act and Regulations. In addition Dyfed Powys Police will take due cognisance to guidance issued by the ICO and the ICO FOI Flowchart and the Dyfed-Powys FOI Guidance Document.

This policy applies (but not limited) to: All categories of Dyfed Powys Police employees, whether full-time, part-time, permanent, fixed term, temporary (including agency staff, associates and contractors) or seconded staff. Any employee accessing and using Force assets and property must have due regard to the contents of this policy.

Section 4 outlines specific roles and responsibilities for this policy.

 

2. Policy Scope

Key drivers for this policy and the need for a consistent approach are legislative, particularly the principles of the Freedom of Information Act 2000, the Environmental Information Regulations 2004 and the requirements of the Code of Practice under Section 46 and Section 45 of the Freedom of Information Act.  

The Act and Regulations are regulated by the ICO and the ICO has various powers to encourage public authorities to comply with the Act, including prosecution of those who commit offences.

A failure to process requests for information and failure to proactively publish information in line with the legislation may constitute a breach of the legislation and, ultimately, undermine public confidence in the Force.

The Act covers all information held by Dyfed Powys Police in any format including paper documents, electronic documents, CCTV videos, tape recordings etc. This includes written records, typed, handwritten or scribbled notes, emails, flip-charts and videos, audio tapes, logs, answer phone messages, tapes of telephone conversations, electronic data and archived records etc. The Regulations cover all environmental information held by the Force.

The principles of this policy covers all information held by the Force internally or externally held by contractors or third parties on behalf of the Force regardless of the format in which it is held. Information received from third parties, other agencies, e.t.c. is also covered by the Act and any environmental information would be covered by the Regulations.

Requests for information under the terms of the FOI Act must be in writing and can be made by anyone – they do not have to be UK citizens, or resident in the UK although requests for information under the Regulations can be made verbally. Freedom of information requests can also be made by organisations, for example a newspaper, a campaign group, or a company. Employees of a public authority can make requests to their own employer, although good internal communications and staff relations will normally avoid the need for this.

Any written communications to a public authority, including those sent electronically, could be a request for information. This includes requests made via social media if a real name and valid address for correspondence is supplied.

To overcome the bureaucratic issues associated with many thousands of pieces of correspondence being processed under the Act, there is an established option, agreed by the Information Commissioner’s Office (ICO) called “Business as Usual” (BAU). Guidance set out in the Force EIR and FOI process guidance document will be followed when considering dealing with a request for information as a BAU request, also see below.  

Any requests received by any officer or member of staff should be forwarded to the Disclosure Unit as soon as it is received. It is recognised that it is not necessary to treat every request for information to the Force as a request under the Act as this will cause unnecessary delay and unnecessary bureaucracy. It is important however, that any request for information which makes reference to the Freedom of Information Act or the Environmental Information Regulations is forwarded to the Disclosure Unit.

Subject access requests (SARs) received under Data Protection legislation should be forwarded to the Disclosure Unit, in a timely manner. The exception to this will be where they are to be dealt with by recognised/nominated SPOC’s within a small number of departments eg Human Resources (HR),  Firearms Licencing, Occupational Health Unit (OHU) , Professional Standards Department (PSD)  etc. Whilst these will be processed by the nominated departments, details of any SAR’s received should be provided to the Disclosure Team for logging and monitoring purposes, to ensure they are processed in line with Data Protection legislation and in order that timeliness is monitored.

Hybrid requests are requests for information which may fall under more than one piece of legislation. Such requests should be forwarded to the Disclosure Team without delay.  Disclosure staff will ensure that hybrid requests are appropriately dealt with separately under each piece of legislation.  Disclosure staff will inform requestors of the process that will be undertaken and the legislation that each part of the request will be dealt with.

Business as usual: Requests which are clearly ‘Business as Usual’, (BAU) can be dealt with directly (e.g., RTC disclosures to Insurance Companies or disclosures to Victim Support) and guidance can be found in the Freedom of Information (FOI) and Environmental Information Regulations (EIR) Request Process guidance document.

Dealing with personal information: Where a request for information is received under the Act or the Regulations and the information held to answer the request contains personal information consideration will be made to the requirements of the Data Protection Act 2018 and the UK General Data Protection Regulation (UK-GDPR).  The exemption under Section 40 of the Act and the exception under Regulation 13 of the Regulations will be considered and applied as necessary, personal information which falls under Section 40 of the Act or Regulation 13 of the Regulations will be appropriately redacted using Force approved redaction methods and software.

Where any personal information held consists of employee data or officer data due cognisance will be made to ICO guidance ‘requests for personal data about public authority employees’.   

Decision Making Process and Responding to an applicant:  There are six potential stages to the decision-making process as set out within the College Policing Authorised Professional Practice (APP) on Information Management – Freedom of Information.  When it is determined that  Dyfed-Powys Police is to refuse to either to disclose requested information or neither confirm or deny (NCND) that any information is held, a refusal notice will be issued stating the fact of refusal, the exemption(s) used and why the exemptions apply.

Where qualified exemptions apply, Dyfed-Powys Police will make it clear in its refusal notice the public interest factors considered in relation to each separate exemption.

Where a request for information is made under the Environmental Information Dyfed-Powys Powys Police will consider it under the Environmental Information Regulations 2004 (EIR) rather than under the FOIA.

Exemptions

Where HARM has been identified in the disclosure of information which has been collated as part of the FOI process disclosure staff will follow guidance as set out in the College of Policing APP on Information Management – FOI. As set out in Stage 4 of the Decision-Making process.  The Public Interest Test at Stage 5 of the process will be undertaken where a qualified exemption is engaged.

There will be a presumption upon disclosure, however the FOI Act makes provision for the withholding of information in some cases. “The decision-making process should start with a presumption of disclosure, but this needs to be assessed on a case-by-case basis depending on the subject matter, the harm identified and the public interest”.  The APP on Information Management sets out the exemptions which may apply to the Police Service and those which will not.   Disclosure Officers will consider whether the exemptions apply. Where exemptions are engaged Disclosure Officers will ensure that an appropriate response is provided to the applicant identifying the exemptions and the application of the HARM Test and Public Interest Test, as appropriate.

Where Section 39 of the FOI Act is engaged or a request for environmental information is made the Force will consider the request under the Environmental Information Regulations rather than under the FOI Act.

Timescale for responding to requests for information. If the request is valid, the information required has been clearly defined and there is no preferred option for dealing with it outside of the legislation, the Force must process it in accordance with the FOIA or EIR and the statutory timescales. The Force will aim to comply with the requirements set out within Section 10 of the FOI Act or Section 5 of the Regulations.  

Fees and charges

Section 12 of the FOI Act provides an exemption from a public authority’s obligation to comply with a request for information where the cost of compliance is estimated to exceed the appropriate limit. The option to charge for work in excess of the 18 hours appropriate limit is outlined within the Freedom of Information and Data Protection (Appropriate Limit & Fees) Regulations 2004. However, Dyfed-Powys Police cannot be legally compelled to undertake this work and national policing policy is that requests that exceed the limit are refused as these will have serious staff resource implications. The Force will therefore follow national policy, in line with the College of Policing APP on Information Management – Freedom of Information and will issue a refusal notice where it is estimated that the cost of compliance will exceed 18 hours (£450),  

The Force must still confirm or deny whether it holds the information requested unless the cost of this alone would exceed the appropriate limit.

When estimating the time taken, the Force can take the following into account:

 

• determining if the information is held
• locating the information
• retrieving the information
• extracting the information to be disclosed from the other information

 

However, the Force cannot consider the following activities when calculating the fees estimate:

• the time spent identifying information to be exempted
• the time dedicated to the process of redaction

However, The Force can consider using Section 14 of the FOI Act where this activity would be unduly burdensome.

Environmental Information Regulations – Charges The Force will comply with the requirements set out within Regulation 8 of the Regulations.

 

3. Powers and Policy/Legal Requirements

Dyfed-Powys Police has a legal obligation to comply with the Act and the Environmental Information Regulations 2004, (the Regulations). The Act provides significant rights of access to all information held by Dyfed-Powys Police, regardless of where it has originated from, where exemptions do not apply. 

Dyfed-Powys Police will comply with the requirements set out within the Freedom of Information Act 2000 and the Environmental Information Regulations 2004. Dyfed Powys Police will refer to the College of Policing, APP - Information Management – Freedom of Information when processing requests for information and proactively publishing information under the Force Publication Scheme.

Relevant legislation:

• Freedom of Information Act 2000
• The Freedom of Information and Data Protection (Appropriate Limit and Fees) Regulations 2004
• Environmental Information Regulations 2004
• The Lord Chancellor’s Code of Practice under Section 45 of the FOI Act
• The Lord Chancellor’s Code of Practice on the management of records issued under section 46 of the Freedom of Information Act 2000
• Data Protection 2018
• UK General Data Protection Regulation (UKGDPR)

Other Policy, Code of Practice and Guidance Documents

• Records Management Policy
• Data Protection Policy
• College of Policing APP – Information Management – Freedom of Information
• ACPO Guide to Police Service Publication Scheme Compliance v5.0 (ACPO Minimum Requirements)
• ICO Guide to Freedom of Information
• ICO FOI Flowchart
• Dyfed-Powys Police FOI Request process Guidance Document
• Code of Practice on police information and records management - July 2023
• ICO Definition Document for Police Forces
• ICO Model Publication Scheme

4. Options and Contingencies

Roles and Responsibilities within Dyfed-Powys Police

Dyfed-Powys Police Chief Officers

As identified within the College of Policing Authorised Professional Practice (APP) on Information Management “Chief officers have statutory obligations in relation to the FOIA and will be held to account for breaches of the legislation”.

Disclosure, Records and FOI Manager

Responsibility for this policy lies with the Disclosure, Records and FOI Manager.  The Disclosure, Records and FOI Manager  also has responsibility for the management of the Disclosure Unit and the responsibility to effectively direct, control, monitor and provide management oversight of the activities carried out by the Disclosure Unit  in relation to requests for information  and the proactive publication of information under the legislation, in order to ensure compliance.

Disclosure Supervisor

The Disclosure Supervisor has responsibility for the supervision of Disclosure Officers and oversees and allocates, where appropriate, requests for information.  Acts as a principal decision maker and monitors and supervises all requests for information under the legislation, ensuring that suitable responses are provided to all requests received under the legislation. The Disclosure Supervisor also supervises the Disclosure Officers and oversees the publication of information via the Force Publication Scheme.

Disclosure Unit

Disclosure Unit staff are responsible for the processing of and making disclosure decision on any requests for information received under the Act or the Regulations. They will also provide support to the Disclosure Supervisor by responding to any queries in relation to requests for advice received under the Act and the Regulations, providing advice, assistance and guidance and escalating to the Disclosure Supervisor where appropriate.

Line Managers/Department Single Point of Contact (SPOC)

All Line Managers are responsible for ensuring that the Freedom of Information policy is implemented and adhered to within their department. They will ensure that staff provide, in a timely manner, any information requested by the Disclosure Unit to respond to a request for information, they will also ensure that any harm in the disclosure of the said information is documented and provided to the Disclosure Unit. 

Where it is anticipated that it will exceed 18 hours to locate and retrieve the information requested a time estimate will be provided. Additionally they will ensure that where information is also required as part of the Publication Scheme information will be provided to the agreed standards and timescales.

They should always consider the regular proactive publication of data subject to repeated or common requests in order that the exemption under Section 22 can be Considered – Information Intended for Future Publication.

All Officers, Staff and Volunteers

All Officers, staff and volunteers should be aware of the Act and their legal obligations under the Act. They should ensure that if they are asked for information by Disclosure Unit staff, to furnish a request for information under the legislation, that the information is provided promptly and in line with the deadlines set by Disclosure staff. Where it is anticipated that it will exceed 18 hours to locate and retrieve the information requested a time estimate should be provided.  

All officers, staff and volunteers will familiarise themselves with the processes they are required to follow should they receive a request for information either under the Act or Regulations, bearing in mind that requests under the Regulations can be made verbally. They will ensure prompt action due to the timescales set within the legislation to process requests for information and inform the Disclosure Unit should they receive any such requests.

Section 16 of the Act states that it is the duty of Dyfed-Powys Police to provide advice and assistance to any person who has made, or intends to make, a FOI request.  All staff will ensure compliance with this requirement 

All staff should be aware that Section 77 of the Act makes it a criminal offence to alter, deface, block, erase, destroy or conceal any record with the intention of preventing disclosure.

Where information is also required as part of the Publication Scheme, the department responsible will provide information to the agreed standards and timescales.

The intention of the Act is to encourage a spirit of openness and transparency within Public Authorities. Dyfed-Powys Police fully supports this aim and will wherever possible build trust through the proactive publication of information.

Officers and staff who deal with third party organisations (e.g. contractors) should ensure that the third party organisations are aware of the Act and its implications with respect to any information held by Dyfed-Powys Police. For example, contractors should be informed that any tender documents they supply to Dyfed-Powys Police may be released into the public domain if a request is received under the Act or the Regulations. Any third-party organisations that hold information on behalf of the Force should ensure that they are able to provide the information in a timely manner to the Disclosure Unit upon request. 

Legal Services

The Act and Regulations provide the right for a requestor to ask Dyfed-Powys Police to re-evaluate any response that they have been provided with – referred to as an Internal Review. 

Internal review When an FOI or EIR applicant expresses dissatisfaction with the FOI process or an FOI response which has been disclosed to them then the Force Internal review process will be instigated.

Representations and reconsideration – EIR where an EIR applicant makes representations to the Force in relation to their request for environmental information if it appears to the applicant that the Force has failed to comply with a requirement of the EIR in relation to their request, the Force will reconsider the request. 

Internal reviews and reconsiderations of EIR responses will be undertaken by the Force Legal Services Department in line with the Dyfed Powys Police FOI Internal Review/Reconsideration Guidance document (to be developed). 

The Force will cooperate fully with the ICO should a request be submitted to the ICO for review.

Single Online Home

Requests for information under the legislation can be submitted via the Single Online Home platform available via the Force website.

Code of Ethics

In line with the ethical policing principles, this Policy seeks to address the following:-

• Public service – “working in the public interest, fostering public trust and confidence, and taking pride in providing an excellent service to the public”.
• Courage – “making, communicating and being accountable for decisions, and standing against anything that could bring our profession into disrepute"
• Respect and empathy – “encouraging, listening to and understanding the views of others, and seeking to recognise and respond to the physical, mental and emotional challenges that we and other people may face."

The ethical policing principles will be used to help the Force make and reflect on professional decision making in regard to FOI and EIR.

 

5. Take action and review

This policy is owned by the Information Management and Compliance Department. The review process will be conducted by the Disclosure, Records and FOI Manager every three years to ensure the continued effectiveness of the policy, and taking into account any changes to legislation, national guidance, ICO guidance etc. Should any Legislation or Regulations be amended then a review will be undertaken at that point.

The effectiveness of the policy will be monitored on a regular basis over and above the two year review period and any major concerns will be escalated as appropriate. 

Effectiveness of the policy will be measured through the issue of questionnaires, if appropriate, and auditing of access to the document. The aim being to check awareness, measure complaints or issues relating to the policy and how many times the Department is contacted for advice in order to measure effectiveness. 

In the case of any queries regarding this policy, it’s content, or associated guidance documentation - individuals should contact Dyfed-Powys Police Disclosure Records and FOI Manager, [email protected] 

Appropriate promotion of this policy will take place which can include awareness raising when training inputs and presentations are provided to staff across the Force. The policy will be made available on the Force Intranet and Internet.  Publication via the Internet will ensure that it is available for public view.   

The Internal Review process or the ICO investigation process may highlight issues with this policy and associated guidance. If this is the case relevant action will be taken. 

Where there are issues identified the Disclosure, Records and FOI Manager will work closely with representatives from the relevant departments to address the issues and ensure that lessons are learned.

Any issues of concern or risk in respect to compliance with  Freedom of Information legislation across the Force will be escalated to the Force Information Officer,  Force SIRO and Information Assurance Board, dependent on severity.

Information Assurance Board:

The role of the Board is:

• To maintain strategic oversight, and support the management of, all activities related to the use, processing, retention, and transmission of information or data under the control of Dyfed-Powys Police and the structures, systems and processes used for those purposes in accordance with the College of Policing APP on Information Management which includes the Act and the Regulations
• Provide governance support and direction to the Information Management and Compliance Department in line with the Force vision to ‘Safeguard our Communities Together’, and
• Work in line with the other groups and boards in delivering the mission, vision and values of the Force, the Chief Constable’s vision and the delivery plan in support of the Police and Crime Plan.

Key Performance Indicators

Statistics on performance in respect to requests for information under the legislation will be reported upon on a weekly basis to senior officers and senior managers. This includes departmental performance on the provision of information to the Disclosure Unit.   

Monthly returns on compliance rates (time for compliance) for requests and internal reviews will be reported upon to the National Police Chiefs Council (NPCC) Central Referral Unit (CRU) for the information of the ICO.

Details of requests received on a weekly basis (applicant blind) will be provided to senior officers, senior management and the Office of the Police and Crime Commissioner (OPCC). Administrative Support staff will ensure that the requests report will not contain any personal data.

Any potential issues should be raised at this stage and communication with the Disclosure Unit should be promoted. Details of disclosures made under the Act and Regulations will be published via the Force Disclosure Log, available on the Internet, in line with the requirements set out within the NPCC Guide to Police Service Publication Scheme Compliance v5.0 (ACPO Minimum Requirements).

CODE OF ETHICS CERTIFICATE OF COMPLIANCE

This policy has been drafted in accordance with the Code of Ethics and has been reviewed on the basis of its content and the supporting evidence and it is deemed compliant with that Code and the principles underpinning it.

HUMAN RIGHTS ACT CERTIFICATE OF COMPLIANCE

This policy has been drafted in accordance with the Human Rights Act and has been reviewed on the basis of its content and the supporting evidence and it is deemed compliant with that Act and the principles underpinning it.

EQUALITY IMPACT ASSESSMENT

Section 4 of the Equality Act 2010 sets out the protected characteristics that qualify for protection under the Act as follows: Age; Disability; Gender Reassignment; Marriage and Civil Partnership; Pregnancy and Maternity; Race; Religion or Belief; Sex; Sexual Orientation.

The public sector equality duty places a proactive legal requirement on public bodies to have regard, in the exercise of their functions, to the need to:

• eliminate discrimination, harassment, victimisation, and any other conduct that is unlawful under the Act;
• advance equality of opportunity between persons who share a relevant protected characteristic and persons who do not share it;
• foster good relations between persons who share a relevant protected characteristic and persons who do not share it.

The equality duty applies to all protected characteristics with the exception of Marriage and Civil Partnership, to which only the duty to have regard to the need to eliminate discrimination applies.

Carrying out an equality impact assessment involves systematically assessing the likely or actual effects of policies on people in respect of all the protected characteristics set out above. An equality impact assessment should be carried out on any policy that is relevant to the public sector equality duty. 

EQUALITY IMPACT ASSESSMENT COMPLETED: May 2024