Introduction
The Freedom of Information Act (FOIA) was passed on 30 November 2000. It gives a general right of access to information held by public authorities, sets out exemptions from that right of access and places a number of obligations on such authorities. The Companies Act 2006 (section 1252(3)) provides that the Oversight Board is designated as a public authority for these purposes in relation to the Oversight Board’s exercise of the statutory functions delegated to it by the Secretary of State.
Under the FOIA you have the right to ask the Oversight Board for information in relation to its exercise of the statutory functions delegated to it and to be told whether or not we have the information you want and to have the information given to you, unless it is covered by any of the exemptions listed in the Act.
Information in relation to the Oversight Board’s non statutory functions is not covered by the FOIA.
Exemptions
Although you can ask for any information we hold, there are a number of exemptions under the FOIA. This means we may not be able to give you the information you have asked for.
The Public Interest Test
Some of the exemptions in the Freedom of Information Act require us to do a public interest test. This means that even if the information is exempt, we must consider if there is a greater public interest in releasing the information to you. If we decide the public interest is better served by keeping the information exempt then we will explain our reasons to you for doing so.
Below are some examples of exemptions that we think are most relevant to the kind of information we hold.
Absolute exemptions - the public interest test does not apply
- Information accessible by other means
- Personal information
- Information provided in confidence.
Non-Absolute exemptions - public interest test applies
- Information intended for future publication
- Law enforcement
- Prejudice to effective conduct of public affairs
- Health and Safety
- Legal professional privilege
- Commercial interests.
Obtaining information
The Oversight Board's Publication Scheme and Guide sets out the information made available to the public and show the information that the Oversight Board publishes or plans to publish, the format in which it is available and whether there is any charge made for the information. If the information you are seeking is set out in the Publications List then you should obtain the information under the scheme.
If you cannot find what you want in the Publication List you can send an information request to the Oversight Board. The request must be in writing and must include:
- Your name and your return email or postal address; and
- A description of the information or documents requested.
It would be helpful if you could clearly mark your correspondence “Freedom of Information”. If you prefer, you can complete our Information Request Form and send it to us.
You can submit your request to Shazia Ahmad by e-mail: FOIA@frc-pob.org.uk
or to the following address:
Freedom of Information Act Requests
Professional Oversight Board
5th Floor
Aldwych House
71-91 Aldwych
London, WC2B 4HN
or by fax: 020 7492 2359
Transferring requests
If you have requested information which the Oversight Board believes is held by another public authority, it may be appropriate for you to re-apply to the public authority concerned. Alternatively, the Oversight Board may transfer your request for information to another public authority. Where the Oversight Board decides that it is appropriate to transfer your request to another public authority, the Oversight Board will first check that the other public authority holds the information which you have requested. If you wish to be notified before the Oversight Board transfers your request for information to another public authority, you should state this in your application.
Consultation with third parties
The Oversight Board may notify third parties if a request for information about them is made. The Oversight Board may also need to consult third parties (including another public authority) in order to reach a decision on whether the requested information can be released. If you wish to be notified before the Oversight Board consults a third party about your request for information, you should state this in your application.
Fees
If you are requesting information through our Publication Scheme, the relevant entry will detail any charges and further details are set out in the Publication Scheme.
The Oversight Board may charge a fee for complying with a FOIA request for information in accordance with The Freedom of Information and Data Protection (Appropriate Limit and Fees) Regulations 2004. Guidance on the application of these regulations is provided by the Department for Constitutional Affairs.
Any fee charged will be calculated by looking at the costs directly and reasonably incurred in locating the information you have asked for and giving it to you. You will then be sent a Fees Notice which you will have to pay within three months of your request – you will not receive information until you have paid the costs in the fees notice.
If the estimated cost of providing the information would be above the appropriate limit set by the government (currently £450) then we will not be under a duty to provide the information. However, we will inform you if the limit will be exceeded and we will try to let you know what can be provided within the limit. We will also consider whether it is reasonable to answer your request and charge an appropriate fee.
If the cost of providing the information is £450 or less, the Oversight Board may charge for photocopying, printing and postage costs.
In order to protect the Oversight Board there are rules which govern multiple applications for information which are clearly aimed at avoiding the financial limits set by the government. However, we will try to help you as much as possible to get the information you want.
Timescales
We shall respond to any request as soon as possible and within the day deadline set by the FOIA of 20 working days following the date on which your request was received. We will respond saying either
- We have the information you have asked for and will provide you with a copy of it.
- Or, we have the information but we cannot give it to you because we are exempt from doing so - in which case we will explain why.
- Or, we are unable to confirm or deny if we have the information - in which case we will explain why.
The FOIA makes a number of provisions for extra time to be taken in responding to a request, for example:
- The timescale is put on hold if, after initial consideration of your request, a fee is requested. When a request for payment is sent to you, the 20-day working deadline is put on hold and will start running again (from where it stopped, not back to the beginning of the 20 days) when the appropriate fee is received.
- If the information being sought has to be considered under an exemption to which the public interest test applies, then the timescale is extended by a “reasonable period”. The Oversight Board will, however, tell you within the 20-day period which exemption(s) it believes apply to the information requested, and give you its estimate of the date by which it expects to reach a decision regarding the application of this exemption.
Complaints procedure
If you are dissatisfied with the Oversight Board’s response to your request for information (including a decision to levy a fee) you may discuss the decision with the official who dealt with your request. However, if this informal discussion does not resolve your complaint, you may submit your complaint in writing to Anne McArthur, General Counsel and Company Secretary of the FRC, either by e-mail to or by post to the following address:
Financial Reporting Council
5th Floor
Aldwych House
71-91 Aldwych
London
WC2B 4HN
Ms McArthur will consider your complaint, and will confirm, reverse or amend the decision. She will advise you in writing of the outcome of your complaint.
If you are dissatisfied with Ms McArthur’s decision, you have the right to apply to the Information Commissioner for a decision as to whether the Oversight Board has dealt with your request for information in accordance with the requirements of the Freedom of Information Act. An application may be made to the Information Commissioner’s Office by post to the following address:
FOI Compliance Team (complaints)
Wycliffe House,
Water Lane, Wilmslow
Cheshire SK9 5AF
The Information Commissioner’s telephone help line is 01625 545350.
Further information
If you would like more information about the Freedom of Information Act, its exemptions and how they apply you can:
