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Hafan

Estimates or Refusals

A realistic estimation of the cost of compliance is essential for the valid application of section 12. This module covers how you should make an estimate, communicate it to the requester and record it for future use. It also considers the requirement to provide advice and assistance in accordance with section 16.

Criteria

Good:

  • Estimates are always sensible and realistic, based on the specific circumstances of the case.
  • The refusal notice always includes estimates.
  • Staff always record how they arrive at the estimate.
  • The public authority always recognises when to provide advice and assistance and includes this in the refusal notice.

Adequate:

  • Estimates are generally sensible and realistic, based on the specific circumstances of the case.
  • The refusal notice sometimes includes estimates.
  • Staff sometimes record how they arrive at the estimate.
  • The public authority sometimes recognises when to provide advice and assistance and includes this in the refusal notice.

Unsatisfactory:

  • Estimates are rarely evidence-based or relevant to the specific circumstances of the case.
  • The refusal notice rarely includes estimates.
  • Staff never record how they arrive at the estimate.
  • The public authority never recognises when to provide advice and assistance or includes this in the refusal notice.
1. The way in which the public authority estimates the cost of complying with a request is:
More information

A public authority does not have to make a precise calculation of the costs of complying with a request; instead, they only require an estimate. However, it must be a reasonable estimate. A sampling exercise can help to support the estimate.

2. The way in which the public authority explains why complying with the request would exceed the appropriate limit is:
More information

If a public authority refuses a request under section 12(1), then they must send the requester a refusal notice stating that compliance would exceed the appropriate cost limit. It is not a statutory requirement to provide an estimate or to explain how they calculate an estimate, but it is good practice. It may also be beneficial for a public authority to do so, as it may help the requester's understanding and avoid the need for internal review.

3. The way in which the public authority responds in circumstances where determining if they hold the requested information would exceed the appropriate limit is:
More information

If a public authority is refusing a request under section 12(2), then they must send the requester a refusal notice stating that determining if they hold the information would exceed the appropriate cost limit. It is not a statutory requirement to provide an estimate or to explain how they calculate an estimate, but it is good practice. It may also be beneficial for a public authority to do so, as it may satisfy the requester and avoid the need for internal review.

4. The way in which the public authority records their estimates for future reference is:
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If a complaint is made to the ICO, we expect you to provide details of how you arrived at the estimate. This may require the public authority to incur further costs in providing this detail, if they did not record it at the time. This task may also be complicated by changes in circumstances between the time of the request and the time of the ICO investigation.

5. The way in which the public authority meets their duty under section 16 of FOIA to provide advice and assistance to a requester whose request exceeds the cost of compliance is:
More information

Public authorities have a duty under section 16 of FOIA to provide requesters with advice and assistance. The Commissioner considers that the best way to meet this requirement is usually to include a breakdown of the costs involved in meeting the request, and an indication of what, if anything, could be provided under the limit, as part of the refusal notice. If it is not possible to provide advice and assistance, the public authority has a duty to inform the requester of that.