Huntingdon College: program
in Political Science and Public Affairs:
What's New?
Freedom
of Information Laws and Policies:
Research Materials.
Extracts of PDF:
UK Freedom of Information
Act 2000 Survey Findings
Central Government Departments:
November 2003
from http://www.informationcommissioner.gov.uk/eventual.aspx?id=5976
compiled by Jeremy
Lewis, PhD,
revised 21 June 2004.
Unreadable PDF pages 1-3
Freedom of Information Act 2000 Survey Findings
Central Government Departments: November 2003 Page. 4
2 Contents
3 Introduction ............................................................................................
4 Objectives ...............................................................................................
5 Methodology............................................................................................
6 Results....................................................................................................
6.1 Response Rates .............................................................................
6.2 Publication Schemes.......................................................................
6.2.1 Scheme usage ...................................................................
6.2.2 Scheme publicity and review...............................................
6.3 Preparations for requests under Section 1 of the Act .........................
9
6.3.1 Responsibilities ..................................................................
6.3.2 Alignment with data protection & records management ......
6.3.3 Systems for handling requests ..........................................
6.3.4 Complaints handling.........................................................
6.3.5 Training programmes.......................................................
6.4 Culture Change ............................................................................
6.4.1 Supplier contracts ............................................................
6.4.2 Media relationships ..........................................................
6.4.3 Business practices............................................................
6.5 Records Management ...................................................................
6.5.1 Policy statements.............................................................
6.5.2 Responsibilities ................................................................
6.5.3 Management training .......................................................
6.6 ICO Assistance.............................................................................
7 Conclusions ...........................................................................................
7.1 Publication Schemes.....................................................................
7.2 Ownership and positioning of FOI..................................................
7.3 Culture Change ............................................................................
7.4 Shaping the work of the ICO.........................................................
APPENDIX 1: Questionnaire .........................................................................
APPENDIX 2: List of Departments.................................................................
Deleted: 7
unreadable PDF page 5
Page. 6
FOI on them, and thus in the appropriateness of various structures,
systems and practices
to them, the questions were kept fairly open. This has also allowed
for answers to be
detailed which helps in identifying good practice and any extremes
in approach.
A copy of the questionnaire is set out in Appendix 1. In total seventeen
were sent to the
Permanent Secretaries of Central Government Departments who were asked
to return
their responses by 15 September 2003.
6 Results
6.1 Response Rates
Replies have been received from all seventeen Central Government Departments
within
the first wave of publications scheme activity. These were analysed
to indicate progress
made towards implementation. The Departments are listed in Appendix
2.
6.2 Publication Schemes
6.2.1 Scheme usage
Respondents were asked about the levels of use of their schemes: the
number of website
‘hits’ their schemes attracted, the volume of requests received in
non-electronic form and
the number of complaints they had received about the effectiveness
of the schemes.
All the authorities in this group had placed their schemes on an external
Website: in
document form, HTML or a mixture of both. Notably, the number of hits
received for
each scheme can be influenced by the set up of the website and the
format of scheme
pages. For this reason hit figures may not accurately reflect the number
of site or page
visitors, which can make comparison difficult.
The reported number of ‘hits’ received varies significantly (which
may, in part, be a result
of site/page set up): the Department of Health reported over 25 thousand
visits to their
publication scheme index during the period from December 2002 to July
2003 whereas
the Department for Education and Skills reported just 135 hits (24
‘unique’ hits) to their
site over a similar time. The number of hits received by the other
Departments fall within
these two bounds.
The Department for Culture, Media and Sport reported that they were
unable to provide
website hit figures at the time and the Department of Trade and Industry
reported that
electronic access to their scheme figures were too low to appear on
their site weblog
(fewer than 1,400 per day).
A consistent theme amongst those that separated out requests from other
correspondence
was the very low number of recorded requests made in non-electronic
form. For
example, the Department for Education and Skills, Department for Environment,
Food
and Rural Affairs, Department for Work and Pensions and Export Credits
Guarantee
Department all reported that they had received no requests in hard
copy since
introduction. Also, the Department for Constitutional Affairs and Ministry
of Defence
Page. 7
reported receiving only one such request since introduction. The largest
number of
requests made in non-electronic form was notified by the Department
for Transport and
Office of the Deputy Prime Minister whose joint Central Enquiry Service
received, on
average, five requests by letter and three by fax each month. Although
not recorded, it
was also reported that this Central Enquiry Service also receives approximately
300
telephone requests per month.
The Department of Trade and Industry advised that they had received
29 external requests
for hard copies of publications.
The Foreign and Commonwealth Office reported that their scheme included
contact
details for a range of Departments holding information on specific
subjects and that
requests may well have been made directly to these although not centrally
recorded
An issue here is the ease of identification and separation of requests
from other items of
correspondence and hence the ability of authorities to monitor requests
and evaluate the
effectiveness of schemes. Although in time, indicators of trends in
the volume of non-electronic
requests might be possible using year-on-year comparisons and fixed
criteria,
without prior figures on the number of requests for published material
prior to the
introduction of the schemes, it would be difficult to use current volumes
as an indicator of
effectiveness.
“…it is not easy to see how such requests could be identified
and isolated from
the vast correspondence the Home Office receives”
Home Office
Notably, only two Departments reported receiving a complaint concerning
the content of
the scheme (Ministry of Defence and Department of Trade and Industry).
The
Department of Trade and Industry advised that the complaint they received
concerned the
absence of a statement about the public interest test, but explained
that their scheme did
refer to the public interest test alongside the few classes of information
to which it applies.
The Department for Environment, Food and Rural Affairs reported receiving
a complaint
arising from a misinterpretation of the wording of part of the scheme
and HM Treasury
received an early complaint about a faulty link, which has since been
rectified. No other
complaints have been recorded.
A number of authorities reported having received other comments about
their schemes
including recognition for the availability of the schemes (Department
of Transport, Office
of Deputy Prime Minister), recognition for the style and layout of
the scheme
(Department of Education and Skills) and suggestions for improvement
(Department of
Health). The Foreign and Commonwealth Office reported that their scheme
has also
served as an entry point for eighty-four requests for information about
specific aspects of
the Department’s policies and operations.
Page. 8
6.2.2 Scheme publicity and review
Respondents were asked what publicity they had given or planned to
give to their scheme
and what plans they had to review their schemes prior to renewal.
Publicity
The general finding is that although most respondents had reported
a range of activity to
publicise their schemes within their Departments, very little activity
appears to have been
undertaken or is planned to be taken to publicise the schemes more
widely.
Since the press briefing arranged by the then Lord Chancellor’s Department,
external
publicity has largely focused on making the schemes available on Department
websites, via
links from their website homepages, ‘What’s New’, or in the case with
the Ministry of
Defence Scheme, set up with a unique web address such that the scheme
can be picked up
in the results produced by website search engines.
“…as the publica ion scheme itself has a discrete Internet
web address it can
easily be picked up in the results produced by sea ch engines”.
Ministry of Defence
Notably, the Foreign and Commonwealth Office have produced a leaflet about
their
scheme, which is currently distributed via their London offices and
public open days.
They report to be in the process of assessing the feasibility of including
a copy with all
replies to requests made under the Open Government Code. The Cabinet
Office also
report that, although there has been no specific publicity campaign
for their scheme, it is
routinely mentioned in publications and correspondence issued by the
department. The
Department of Trade and Industry add that they intend to mention their
scheme in
appropriate circumstances such as press releases about FOI.
Other external activity has been limited to articles about the scheme
and FOI generally
targeted at teachers and governors (Department for Education and Skills);
notifying key
stakeholders of the scheme existence (Department of Trade and Industry);
copies of the
scheme being made available in hard copy through the Public Enquiry
Point (Department
for International Development); presentations to NHS and members of
patient groups
(Department of Health); publishing details in a Public Notice (HM Customs
and Excise),
and a press release issued when the scheme introduced (Home Office).
Given the minimal amount of external publicity undertaken by the authorities
to date, it is
not surprising that the number of non-electronic requests for information
have been so
low.
Publicity of the schemes within Departments has been more pronounced.
Activity has
included staff launches and communications via Department intranet
sites (Department of
Transport, Office of Deputy Prime Minister, HM Customs and Excise,
Home Office),
articles in staff newsletters/papers, bulletins, corporate briefings,
staff seminars, and other
awareness raising events.
Review
Page. 9
Four Departments indicated that their publication schemes were subject
to continuous or
ongoing review (Department of Transport, Foreign and Commonwealth Office,
Office of
the Deputy Prime Minister and Department of Health) and five Departments
reported of
systems in place to update, supplement and reorganise information in
their schemes
(Department of Education and Skills, Department of Trade and Industry,
Department for
Environment, Food and Rural Affairs, Department for International Development
and
Exports Credits Guarantee Department).
“Centrally managed Code of Practice requests are assessed
to iden ify trends and
type of information requested with a view to including categories o
information
for which there appea s to be new demand.”
Foreign and Commonwealth Office
The Home Office reported an internal review in June 2003 and plans for
revision (to
include materials in Welsh) before the end of 2003; the Department
for Work and
Pensions and HM Customs and Excise indicated that reviews of their
schemes were
currently underway; the Department for Constitutional Affairs reported
a planned review
in November 2003 to amalgamate/broaden classes within the scheme; and,
HM Treasury
and the Ministry of Defence reported that review of their schemes was
planned during
2004 before the introduction of rights and at the mid point between
scheme introduction
and renewal.
Although no time span was indicated, the Department for Culture, Media
and Sport
reported that publicity and review of their scheme was planned before
2005.
The Cabinet Office reported that they intend to allow the current scheme
to bed in and
planned to review in three to five years time before renewal.
“We are advising teams to think more about the target
audience for their
publications – to write in plain English and to avoid jargon.”
HM Treasury
6.3 Preparations for requests under Section 1 of the Act
Authorities were asked where responsibility for FOI fell within their
Departments and
whether such responsibility was combined with that of other relevant
matters such as data
protection, records management, and human rights.
6.3.1 Responsibilities
A number of authorities reported that overall responsibility for FOI
rests at Board level
(Department for Education and Skills; Department for International
Development; Home
Office; HM Customs and Excise; Foreign and Commonwealth Office, Department
of
Trade and Industry, HM Treasury). Others reported of Board Champions
for FOI,
responsible for driving through their implementation projects or programmes
(Cabinet
Office, Department of Health; Ministry of Defence; Department for Transport;
Office of
the Deputy Prime Minister; Department for Constitutional Affairs; Department
for Work
and Pensions). The Home Office also reported that they were in the
process of
Page. 10
identifying champions at senior level to support Director-General and
Heads of Agencies
in their preparations.
Six authorities reported a Ministerial lead for FOI (Cabinet Office,
Department of Health;
Department for Transport, Foreign and Commonwealth Office, Department
for
Constitutional Affairs and Office of the Deputy Prime Minister) and
the Department for
Work and Pensions reported Ministerial support in providing full commitment
to the
principles of FOI.
Authorities that did not specifically indicate board level responsibility
or championship
place responsibility for FOI with the Public Affairs Branch of Strategic
and
Communications Division (Export Credits Guarantee Department), the
Information
Management Division (Department for Environment, Food and Rural Affairs)
and the
Head of the Information Management Unit (Department for Culture, Media
and Sport).
6.3.2 Alignment with data protection & records management
Most of the authorities reported combining responsibility for FOI with
that for Data
Protection (DP) and Records Management (RM). These include Department
for
Constitutional Affairs, Cabinet Office, Department for Environment,
Food and Rural
Affairs, Department of Trade and Industry, Home Office, Foreign and
Commonwealth
Office, Department for International Development, Office of the Deputy
Prime Minister
and Department for Transport in their common Information Management
Division,
Department for Work and Pensions, Department of Health, HM Treasury,
Department
for Education and Skills and Department for Culture, Media and Sport.
“…common themes o openness and accountability should be
brigaded to allow
for a more coherent app oach.”
Department for Education and Skills
“There are inherent dif iculties in isolating individual pieces o information
from
personal and non personal there ore DWP take a seamless approach to
the
handling of requests for information.”
Department for Work and Pensions
Many of these organisations cite guidance from the Department for Constitutional
Affairs
and the National Archives’ recommendation that FOI and DP compliance
should reside
within the records management environment in their responses to this
question.
Authorities that report FOI responsibilities being separated include
the Export Credits
Guarantee Department (where FOI is within a separate command from DP
and RM);
HM Customs and Excise (where records management currently falls within
a separate
command); and, the Ministry of Defence (where FOI and records management
fall within
the same command, but data protection rests with a separate Directorate).
All these
Departments report that, although separated in the command chain, those
teams
responsible for each matter work closely on relevant issues.
Page. 11
Notably, a number of authorities also report of the establishment of
cross
Department
groups and initiatives to implement and manage FOI. These include the
Information
Access Practitioners Group at the Home Office (comprising representatives
from each
Directorate/Agency); the Information and Programme Overview Group at
HM Treasury,
the network of Information Managers at the Department for Environment,
Food and
Rural Affairs; the Business Information Manager network at HM Customs
and Excise
(comprising Managers from each of the Department’s main business areas);
the network of
Open Government Liaison Officers (representing each home Department
and oversees
post) at the Foreign and Commonwealth Office; the Communications Committee
at the
Department for International Development (to give strategic direction
to internal
communications, knowledge and information management and information
systems
management activities); Information Managers’ network at the Department
of Transport
and Office of the Deputy Prime Minister; Open Government Focal Point
network at the
Department for Work and Pensions; FOI Practitioners Group at the Ministry
of Defence;
and, the Freedom of Information Steering Group at the Department of
Health.
The Department for Culture, Media and Sport also report of plans to
establish an
Information Management Oversight Group to oversee FOI implementation
across the
Department.
6.3.3 Systems for handling requests
Authorities were asked what systems they had or planned to put in place
to deal with
requests under the Act and for handling complaints that they have failed
to comply.
“It is recognised that FOI will have a big impac and that
there is a need to build
FOI into the way staff work.”
Department for Media, Culture and Sport
All the authorities in this group reported the existence or planned implementation
of
systems for handling requests.
The Department for Constitutional Affairs, Department for Education
and Skills; Foreign
and Commonwealth Office and HM Customs and Excise report of existing
(local and
centralised) systems and procedures (for example those used to handle
Subject Access
Requests and requests under the Open Government Code of Practice) which
will be used,
reviewed and/or adapted for use in handling FOI requests.
“…we have adopted these structures because we believe
there is a need to
embed FO in all aspects of our work. They create lines of responsibility
running
from the top of the o ice to desk officer level”
Home Office
Many respondents reported of the implementation of ‘matrix’ or mixed structures
where
requests will be received and processed by relevant divisions or business
units but will be
supported by experts (either locally or both locally and within a central
team). For
example, the Home Office advise that requests will be handled in directorates
and units
but supported by ‘helpdesk’ advice, guidance, monitoring and coordination
of ‘round
Page. 12
robin’ requests. The Ministry of Defence also report that requests
will be handled at a
local level by staff that lead on the subjects concerned and who hold
the information, but
that these will be supported by a network of focal points, ensuring
there is a framework of
local expertise that facilitates liaison and transfer of requests and
which ensures that
procedures and guidance are followed. The Department for Work and Pensions
advise
that requests will be handled by business units with responsibility
for the policy, action or
decision in question and that these will be supported by a network
of focal points who
offer guidance and support to field staff and who will cascade training
within their business
areas. In turn, these focal points are supported by a Department focal
point, which offers
assistance across the Department.
“Ministers have agreed a structu e within DWP, which builds
on the current Open
Government Mechanisms while addressing the fact that there will be
new and
additional requirements under the FOI regime”
Department for Work and Pensions
“The IMs [Information Managers] will receive training in access to information
issues and will act as a local centre of exper ise and advice on information
management and disclosure, including the E Rs, data p otection issues,
the
publication scheme, Defra’s Accessibility Commitment, and records management
policy.”
Department for Environment, Food and Rural Affairs
The Foreign and Commonwealth Office, Department of Trade and Industry,
Department
for Environment, Food and Rural Affairs, Office of the Deputy Prime
Minister and
Department for Transport also advise of approaches whereby requests
will be handled by
the relevant business units or groups supported by local trained experts.
Again, these, in
turn, will be supported by central units which will ensure consistency,
provide policy
advice, monitor and co-ordinate requests.
“The precise role of the cen ral unit is bound to evolve
depending on FO
demand and some flexibility is being built into existing structures
to adapt as
necessary e g. contingency planning for large requests”
Foreign and Commonwealth Office
A number of authorities cite the use of centralised service delivery systems
and procedures
to support their structures and assist in responding to FOI information
requests, complaints
handling and monitoring performance. These include the Department of
Health, who
report that their new system will facilitate workflow, case tracking
and performance
monitoring and management. Similar systems have been reported to be
in existence,
planned or on trial by the Cabinet Office, HM Treasury, Department
for Environment,
Food and Rural Affairs, Export Credits Guarantee Department, HM Customs
and Excise,
Foreign and Commonwealth Office and the Department for International
Development.
“… a FOI ‘Toolkit’ is being developed…[to] assist officials
in complying with the
requirements o the Act by leading them through the process, pointing
them at
Page. 13
relevant guidance and tracking reques s o help ensure
that they are comple ed
on time.”
Ministry of Defence
“The new database… enables cen ral recording and tracking of FOI requests
as
well as providing case o icers with a help ool on process. It calculates
deadlines and prompts consideration of reasons for any refusal and
for
consideration of the public interest test…”
Foreign and Commonwealth Office
Notably, the Department for Culture, Media and Sport, Department for Environment,
Food and Rural Affairs and Office of the Deputy Prime Minister report
that they are
awaiting guidance on monitoring of FOI from the Department of Constitutional
Affairs.
Although not asked directly about specific arrangements for handling
requests where
information is likely to be withheld, a number of authorities indicated
explicit procedures.
For example, the Department for Education and Skills reported that
in cases where
consideration is being given to withhold or applying an exemption,
clearance will need to
be given by their Information Access Officer. The Cabinet Office, Department
of Trade
and Industry and Foreign and Commonwealth Office also report that complex
requests
and requests where it is decided to withhold information will be handled
by their central
supporting units.
“Arrangements will be put in place for provisional decisions
to be reviewed
independently of the line, particularly whe e the decision is to refuse
disclosure.”
Department for Transport
“It is likely that the Access to In ormation Unit will only be
involved in requests in
cases where it is intended to refuse information.”
Department for Constitutional Affairs
“We propose to adopt a mixed system whereby more straigh forward requests
a e dealt with by individual work units and more complicated or contentious
cases are co-ordinated by the Openness Uni ”
Cabinet Office
6.3.4 Complaints handling
“In the first instance we will encourage informal dialogue
between officials and
members o the public with a view to resolving any issues of concern
rela ing to
a request.”
Ministry of Defence
Several authorities report that complaints will be handled independently
of line
management and the original decision-maker. These include the Department
for
Education and Skills, who advise that a team leader not involved in
the original decision
will review the complaint in liaison with their Information Access
Officer and the Export
Page. 14
Credits Guarantee Department, who report that complaints will be reviewed
by a senior
member of staff who has not been involved with the request. Similar
arrangements are
proposed by the Department for Work and Pensions, HM Treasury, the
Foreign and
Commonwealth Office, Office of the Deputy Prime Minister and Department
for
Transport.
A number of authorities also report centralised systems for handling
complaints or appeals:
these include HM Customs and Excise, who report that complaints will
be dealt with by a
dedicated team in consultation with their Information Law Division;
the Department of
Trade and Industry, whose central open government unit will be involved
in complaints
requiring review or interaction with the ICO, and the Department for
Constitutional
Affairs, whose complaints will be handled centrally, but who plan to
review these
procedures as part of their project plan. Notably, the Ministry of
Defence advise that their
FOI ‘Toolkit’ should ensure an audit trail of how requests are handled
and decisions taken
and that this will be used in reviewing any complaints which will be
managed centrally.
6.3.5 Training programmes
Authorities were asked what training programmes they had carried out
or planned to carry
out for their staff.
“…to achieve the kind of culture change needed to support
effective
implementation o FOI all sta should have a basic awareness and
understanding of what FOI will mean in practice.”
Department for Education and Skills
All of the authorities that responded reported that they had implemented
or planned to
implement FOI training and awareness programmes or campaigns amongst
their staff.
A number of Departments have held awareness seminars, presentations
and briefings and
have plans in place to continue such over the period to 2005. Of these,
some (including
the Department of Health) report that they will continue to refine
these in response to
feedback in moving towards full implementation.
A common theme here is that many Departments appear to recognise and
plan to address
the varying needs of staff at the different levels and areas of business
within the
organisations. For example, the Department for Education and Skills
have held a range of
seminars and presentations targeted at legal advisers, internal auditors,
procurement
managers, their Public Enquiry Unit and policy makers in addition to
site based
presentations to all staff. The Home Office report of an ongoing programme
of awareness
raising briefings which are adapted to audience requirements, from
half day seminars and
workshops to twenty minute slots in local management team meetings,
and plan to keep
these as a permanent resource. The Department for Transport and Office
of the Deputy
Prime Minister advise of programmes of high level training for all
staff and in-depth
training for senior managers and locally based information experts,
and the Department for
Constitutional Affairs are currently looking at customising information
training modules to
meet the needs of different Divisions.
Page. 15
The Cabinet Office and Foreign and Commonwealth Office also advise
that their training
courses have been or will be adapted for staff dealing with specific
business areas.
“… information will be delivered in smaller, more usable
formats e.g to inform
P oject managers, Line managers, New En ants, Contract managers etc.
on the
particula aspects and p ocedures that will be relevant o their roles.”
Department for Education and Skills
The Department for Culture, Media and Sport report that, their training,
other than
general awareness, will depend on the systems they adopt, but that
they are awaiting
materials and guidance from DCA to form the basis of training across
the Department.
“…In addition, DP and FOI messages are being built into
a range of other
gene alised … courses such as the induction prog amme and d a ing courses”
Foreign and Commonwealth Office
A number of Departments report the inclusion of FOI training within their
induction
programmes and broader information management training plans: these
include the
Ministry of Defence, whose pan awareness campaign is currently underway
which
includes a leaflet to all staff, articles in Departmental journals,
induction training and
training needs analysis; HM Treasury who cover openness issues in their
induction
training, the Department for International Development who have included
FOI training
in information management training sessions in UK and overseas and
in induction courses
and packs; and, the Department for Constitutional Affairs who have
conducted awareness
events since August 2001 and include FOI training with records management
within their
induction courses.
“It is planned to use a mixture of delive y routes including
interactive learning,
seminars and courses to deliver training across the Depa tment”
Ministry of Defence
In addition to training activity and plans, many Departments report of
a variety of other
means (planned or in use) to raise awareness of, and provide guidance
on, the practical
implications of FOI. These include the provision of a series of posters
and FOI wall
calendar (Ministry of Defence), the set up of a series of surgeries
to build awareness of new
ways of working to ensure compliance with all areas of information
rights (Department for
Education and Skills), articles in staff newspapers, features in in-house
journals and intranet
bulletins, bespoke intranet sites, pages and guidance, desk notes and
administrative
guidance manuals.
“We will also be exploring the possibility of developing
a compu er-based training
package which might cover access to information alongside other information
management / records managemen training.”
Department for Environment, Food and Rural Affairs
Page. 16
6.4 Culture Change
Authorities were asked whether the FOI Act had caused them to review
private sector
supplier contracts confidentiality clauses, their relationships with
the media and existing
business practices.
6.4.1 Supplier contracts
“…we have a p esumption o openness where comme cial confiden
iality is not
jeopardised.”
Export Credits Guarantee Department
“While Section 43 o the Act permi s information to be restricted, the
main task is
to stop this becoming he default position.”
HM Treasury
“It will be difficult to persuade Industry to fully emb ace the spirit
of the Act and
surrender the existing confidentiality clauses unless there is an acknowledgement
– in authoritative guidance - that such information will normally be
pro ected (at
least during the compe ition process).”
Ministry of Defence
“Certainly, future con racts will conform with the S.45 Code. It has
yet to be
decided whether we will attempt to work retrospectively through existing
contracts”
Department of Trade and Industry
A number of authorities report that work has already been undertaken in
reviewing
existing and future contractual arrangements with suppliers. For example,
the Home
Office have revised their standard guidance on contract procedures;
the Ministry of
Defence report that their standard conditions have been amended and
invitation to tender
form revised to ensure that points of contact for FOI are identified
at the start of the
procurement process; the Department of Trade and Industry report that
have held
discussions with to ensure that confidentiality clauses are avoided
wherever possible; the
Department for Culture, Media and Sport report that amongst those aspects
of business
that are already open are their contracts with private sector suppliers;
and, the Department
of Health report that they have reviewed their contracts to ensure
that no confidentiality
clauses would prevent the release of information in response to FOI
requests.
HM Treasury also report that the Inland Revenue, under whose terms
of procurement
they operate, will be drafting specific instructions and guidance for
procurement staff, both
in the Revenue and the Treasury.
Page. 17.
“A d aft model contract clause was proposed for inclusion
in all new contracts
but it was deemed inappropriate to use un il there is an agreed interpretation
of
the [commercial] exemptions.”
Ministry of Defence
“The CBI Defence P ocu emen Panel have issued inst uc ions asking companies
to consider appointing an FO officer to be the focal point for enquiries”
Ministry of Defence
“There has been an approach… to the Office of the e Envoy with a view
o
instigating a cross-Whitehall approach to persuading p ivate sector
suppliers to
drop some of their more restrictive confidentiality clauses.”
Office of the Deputy Prime Minister
Those Departments that advise of plans to review contractual arrangements
with private
sector suppliers tend to report of the establishment of work groups,
project teams or
workshops with a view to developing proposals. These include the Home
Office who
plan to hold workshops for key procurement staff to ensure there are
minimal obstacles to
openness in their existing contracts; Ministry of Defence who have
established a working
group (including representatives from major contractors and other key
stakeholders) to
look at the impact of FOI on contractual information and current commercial
policy;
Department for Education and Skills, who have established a group of
staff with
responsibility for procurements and contracts to look at the impact
of FOI on contractual
information; the Department for Transport, whose working group has
been set up to look
at a model approach to future confidentiality arrangements in contracts;
and, the
Department for Constitutional Affairs, who report to be in the process
of revisiting
standard terms and conditions of contract, including confidentiality
clauses.
“…the Department is not alone in this area and we are
waiting for the
development of central guidance from the Office of Governmen Commerce
”
Department for Constitutional Affairs
A number of Departments report that they will implement any changes that
are required
to contracts with private sector suppliers when central guidance is
available.
“… In terms of disclosure information (beside the FOI
requirements) we need to
take into account other legal requirements such as those o law o contract,
intellectual property rights and the Common Law of Con idence;”
Export Credits Guarantee Department
“…feedback [from Industry and MOD s aff] suggests that there is an
increased
willingness to accept that more commercial information may be released.”
Ministry of Defence
6.4.2 Media relationships
“… we recognise that the Code places obligations on us
to be open and timely in
responding to requests for information and we are building on this
for FOI ”
Page. 18
Home Office
Most of the authorities reported that by their nature they attracted
a significant amount of
media interest and that they had robust systems for handling media
requests and enquiries
already in place. Some reported that media relations were unlikely
to alter radically as a
result of FOI (e.g. Department for Education and Skills, HM Treasury,
Department for
Work and Pensions).
“… we a e proposing to hold t aining sessions tailored
to the requirements o our
Press Office to ensure they fully app eciate the requirements o the
FOIA.”
Cabinet Office
“90% of Code of Practice reques s received in the past 18 months have
come
from journalis s”
Foreign and Commonwealth Office
Exceptions to this include the Ministry of Defence view, that although
they expect
current working arrangements to continue, they do expect the FOI right
of access to
make a difference in the context of investigative journalism and anticipate
more requests
for information in areas where journalists perceive the Department
has been secretive.
They particularly anticipate more requests for information in areas
where journalists will
seek to make comparisons between what is released by them and that
released by other
nation’s authorities operating under different legislative requirements.
“… We expect this [current] working pa e n to continue,
not least because the
20 working days allowed for the reply to individual written requests
is unlikely to
be seen as bringing any real advantage to the coverage of dynamic news
stories.”
Ministry of Defence
6.4.3 Business practices
“We have already changed some business practices as a
resul of adopting a
publication scheme.”
Department for Constitutional Affairs
“…The aim is to achieve a position whereby we manage the release of
information rather than its protection.”
Department for Education and Skills
A number of authorities report activity associated with separating statistical
and factual
analysis and research information from sensitive policy advice or recommendations
in
policy submissions to make it easier to disclose (e.g. Ministry of
Defence, Department for
Education and Skills, Cabinet Office, Department for Transport and
Department for
Work and Pensions).
Page. 19
However, both the Ministry of Defence and Department for Transport
advise that further
consideration will be given to these issues before final decisions
are made.
“Our awareness programme has highlighted the need or all
staff to draft with
disclosure in mind and work on the assumption that eve ything they
produce
may be disclosable…”
HM Customs and Excise
“…Ministerial speeches, country briefs, background informa ion and
factual
analysis available on the website p ovide the context for decisions
taken by
Ministers.”
Foreign and Commonwealth Office
“We propose to develop guidance for staff p eparing Ministerial submissions
on
major policy decisions with the aim of ensuring that, when a decision
is
announced, a s atement of evidence underpinning it is placed in the
public
domain.”
Department for Environment, Food and Rural Affairs
Other Departments, including the Office of the Deputy Prime Minister, Department
for
Environment, Food and Rural Affairs, Foreign and Commonwealth Office
and
Department of Health, report of plans to review the way in which policy
is developed.
For example, the Office of the Deputy Prime Minister report that a
project workgroup
will be formed to look at best practice in drafting and structuring
documents, and the
Foreign and Commonwealth Office advise that their Strategy implementation
programme
will set out a series of detailed internal reforms designed to ensure
that change is consistent
and co-ordinated to achieve aims.
“… many submissions of necessity include a mixture o fac
ual analysis and policy
advice, in which it is difficult to distinguish the two clearly. The
approach o this
issue is being considered further.”
Department for Transport
“Openness is becoming an increasingly signi icant consideration in
policy
decisions and there is already wider consultation on the implications
of and scope
for disclosure at all stages.”
Home Office
“…it is crucial that we can offer advice to Ministers which is not
subject to public
disclosure”
Export Credits Guarantee Department
The area of policy development and submission appears to be one where authorities
may
require and seek further guidance as to best practice. For example,
HM Treasury report
that although they have given some thought to the desirability of restructuring
policy
submissions, they have made little progress and would find it helpful
to have good practice
examples from other areas. Notably, the Department for Constitutional
Affairs report that
Page. 20
they are expecting proposals in December on how the format of written
work (minutes,
submissions, reports etc) could be altered to facilitate proactive
disclosure as a matter of
course. The Department for Culture, Media and Sport also suggest that
the National
Assembly of Wales approach trial may provide insight.
“There has generally been a great willingness to engage
in discussion and
understand the full impac [of FOI] and in most trusts and Primary Care
Trusts
the goals o the legisla ion have been welcomed.”
Department of Health
Other aspects of business practice reported to be under review include
work involved in
identifying different categories of information for which treatment
would need to be
different.
“…Project managers will be provided with generic Risks
and Issues to help them
consider and ensure compliance within their projects and deliverables…”
Department for Education and Skills
“From 1 January 2004 the Department will, in response to reques s for
information, behave as if the Act is already in force. The presumption
will be
firmly on disclosure.”
Department for Constitutional Affairs
6.5 Records Management
Authorities were asked about their records management practices. In
particular they were
asked whether they had adopted an overall policy statement on records
management, who
was responsible for records management and what steps had been taken
to train non-records
management staff in procedures.
6.5.1 Policy statements
Most of the authorities within this group come within the Public Records
Act and, as
such, have been subject to regular review and inspection by the National
Archives. As a
consequence, most Departments reported that they had long standing
records management
policies, systems and cultures and that they had appointed Departmental
Records
Managers.
The Home Office, Department of Trade and Industry, HM Customs and Excise
and
Department for Work and Pensions report that their policy statements
are available to all
staff via their intranet sites. The Department for International Development,
Department
for Education and Skills, Department of Health, and Department for
Transport also report
of long standing records management policies in place. The Ministry
of Defence and
Foreign and Commonwealth Office are in the process of reviewing their
current
statements of policy; the Export Credits Guarantee Department advise
that they have just
issued a new policy; the Cabinet Office report that their policy statement
was updated
recently; the Department for Environment, Food and Rural Affairs report
that their policy
statement is still to be endorsed by their Management Board, and the
Department for
Constitutional Affairs report that they will have a policy in place
by Autumn 2004.
Page. 21
The Office of the Deputy Prime Minister report that they have a current
policy and that
they are considering an audit of compliance with this in advance of
2005.
HM Treasury report that although they have produced all staff guidance
on the use of
records management facilities, they will be creating a definitive statement
of policy and
ensuring staff are made aware of it. The Department of Culture, Media
and Sport do not
indicate the existence as a policy per se, but advise that the principles
of RM are a
requirement for all staff and subject to regular update.
6.5.2 Responsibilities
Most of those Departments that responded, indicated that they had Departmental
Records
Officers (Home Office, Cabinet Office, Department for Environment,
Food and Rural
Affairs, Department of Trade and Industry, Ministry of Defence, HM
Treasury, Foreign
and Commonwealth Office, Department for Culture, Media and Sport, Department
or
Education and Skills, Department for International Development, Office
of the Deputy
Prime Minister, Department for Transport, Department for Work and Pensions,
Department for Constitutional Affairs, HM Customs and Excise and Export
Credits
Guarantee Department).
For the most part, records management responsibilities appear to lie
within the same
command as FOI and data protection. The reported exceptions to this
include: the
Ministry of Defence (where data protection rests with a separate directorate);
HM
Treasury (where records management is within the Information Systems
directorate); the
Export Credits Guarantee Department (where the Head of Facilities Management
is
responsible for records management and reports to the Management Board
via the
Director of Central Services); and, HM Customs and Excise, where historical
factors have
led to records management currently falling within a separate command
but the situation is
kept under review and where the Department Records Officer reports
to the Director for
Information and e-Services.
6.5.3 Management training
“… [we] are looking a how RM can be combined with FOI
and DP to form the
basis of an Information Management competency required by all staff.”
Department for Culture, Media and Sport
All Departments responding to the survey advised that they had undertaken
or planned to
undertake training in records management amongst those staff who handle
Departmental
records. Many advised that records management training programmes were
ongoing
(Department for Education and Skills, HM Treasury, Department for Environment,
Food
and Rural Affairs, Department of Health, Department for Work and Pensions,
Department for Constitutional Affairs, Department for Culture, Media
and Sport and
Foreign and Commonwealth Office) and/or included in staff induction
programmes
(Department for International Development, Department for Environment,
Food and
Rural Affairs and Department for Constitutional Affairs).
Page. 22
A number of Departments also reported that their records management
training had or
would be combined with FOI training (Cabinet Office, Office of the
Deputy Prime
Minister, Department for Transport, Home Office, HM Customs and Excise,
Department
for Education and Skills, Ministry of Defence and Department for International
Development) and in one instance both FOI and data protection training
(Foreign and
Commonwealth Office).
“…FOI training is based on the interrelationship with
effective records
management and that good records underpins openness.”
Department for Education and Skills
“We are currently carrying out a gap analysis against the requirements
of the
Code which may suggest additional training needs.”
Department of Trade and Industry
A number of Departments reported that in addition to FOI requirements,
current and
planned implementation of electronic records management systems and
wider
organisational change programmes provided a catalyst to reiterate or
develop new records
management practices (Office of the Deputy Prime Minister, Department
of Trade and
Industry, Department for Transport, Ministry of Defence, Department
for International
Development, and Department for Constitutional Affairs).
6.6 ICO Assistance
Authorities were asked what assistance they required from the ICO to
meet the challenges
of implementation and whether they would be interested in participating
in seminars,
workshops or fact finding meetings organised by the Commissioner.
There appears a consistently reported need for clear, definitive and
timely guidance
amongst Departments. Many stressed the need for timely guidance such
that it can be
customised and prepared for staff and used to develop systems/processes
and inform
practice well in advance of implementation.
“The relationship between ICO and DCA is ambiguous and
it is not obvious who
has responsibility for what. A clear definitive role statement would
be helpful.”
Department for Education and Skills
Although some Departments indicated involvement in, or expectation of,
guidance being
developed by the Department for Constitutional Affairs and FOI Practitioners’
Group
(particularly in the areas of exemptions and the public interest test)
a number of
Departments indicated a need for these to be endorsed by the Commissioner
as soon as
possible or for the Commissioner to issue guidance on his interpretation
and policy for
enforcing such key provisions as soon as possible. In connection to
this, there also appears
to be some need (reported by a couple of Departments) to have more
clarity over the
respective roles of the Commissioner and Department for Constitutional
Affairs: the
Department for Education and Skills suggesting a clear definitive role
statement would be
helpful.
Page. 23
“…We believe that if the guidance [on exemptions in the
Act and the public
interest tes and the definition o an FOI request for monitoring purposes]
is to
be fully effective it needs in each case to be endorsed by the Commissioner.”
Office of the Deputy Prime Minister
In addition to guidance on exemptions and the public interest, other assistance
was sought
in: making available model action plans and checklists for implementation
(Home Office);
best practice and providing information relating to benchmark standards
and expectations
(Department of Health, HM Customs and Excise); issuing guidance on
request
identification, monitoring and reporting standards (Department for
Environment, Food
and Rural Affairs, Department for Education and Skills, Office of the
Deputy Prime
Minister); examples of good practice on Ministerial submissions (HM
Treasury) and in
making guidance available on response times, request handling and fees
regimes
(Department for Education and Skills and Foreign and Commonwealth Office).
Other issues raised by Departments included the need to be informed
of ICO plans for
public awareness campaigns and provided with copies of relevant literature
(Ministry of
Defence, Department of Trade and Industry, Department for Skills and
Education); for
clarity over the roles of regional Assistant Commissioners within the
ICO (Ministry of
Defence); indication of whether the ICO would provide informal evaluation
of
Departmental systems and guidance (Department for International Development);
the
availability of a helpline service for public authorities and FAQs
on the website (Cabinet
Office); and better ease of navigation of the Commissioner’s website.
“…the Commissioner may also be able to assist by stimula
ing the professional
training community to offer solutions that can meet a variety o needs.”
Office of the Deputy Prime Minister
With the exception of the Department for Constitutional Affairs, who indicated
active
involvement in the development of central guidance on exemptions and
the establishment
of its own network of implementation team leaders, all Departments
who responded
reported that they would be interested in participation in seminars,
workshops and fact
finding meetings. The Department of Transport and Office of the Deputy
Prime Minister
stressed a need for these to focus particularly on the Commissioner’s
perspective.
A number of Departments also requested bilateral meetings with the
Commissioner’s Staff
to discuss issues specific to their operations.
7 Conclusions
The questions put to public authorities were deliberately open ones
designed to provide
the Commissioner with a feel for the situation on the ground. Different
departments may
have chosen to highlight different elements of their approaches to
FOI. On occasions
some may not have provided information which the Commissioner might
have regarded
as significant. It is nevertheless possible to draw some general conclusions
which will
Page. 24
inform the development of the Commissioner’s work in the period up
until January 2005
when rights under the Act come into force.
It is also important to bear in mind that the survey is effectively
a snapshot in time. Most
Departments responded in August or September 2003 and it is certainly
the case that many
will now be considerably further advanced in their preparations. Similarly,
the work of the
DCA and the Commissioner has also been progressing and a number of
the requests for
further assistance articulated in the survey responses have or are
in the process of being
met. For instance, the DCA has developed a programme of work (to which
the
Commissioner, Departments and independent experts have contributed)
around the
exemptions considered to be most relevant to the circumstances of central
government
departments. (Details of the work programmes of the Commissioner and
the DCA are
available on their respective web sites. Also available on the DCA
website is the Secretary
of State’s annual report to Parliament on implementation of the FOI
Act, published in
November)
7.1 Publication Schemes
The general picture here is encouraging. Most departments have either
instituted systems
of ongoing appraisal or have set dates for reviews of their schemes.
This accords well with
the Commissioner’s intention to review the effectiveness of all aspects
of publication
schemes and the results from the survey will certainly be fed into
that process. At the same
time is perhaps slightly disappointing that, with one or two notable
exceptions, few
departments have attempted to publicise the existence of their schemes
to the outside
world. If publications schemes are indeed to become a principal engine
of openness, then
clearly more will need to be done in this regard.
7.2 Ownership and positioning of FOI
FOI is designed to produce culture change. It is almost a truism to
say that culture change
is a leadership issue and, in that context, a welcome feature of most
of the responses is the
mention of board level responsibility for FOI, and, in four cases of
ministerial ownership
of the issue.
Sensibly there is a general bringing together of FOI with data protection
and records
management issues (where the crucial role of the National Archives
was generally
recognised). Providing that there is an appreciation that the issues
raised by requests under
FOI are likely to be more politically charged than requests under the
DPA this is almost
certainly the correct solution.
So far as the building of systems for responding to FOI requests is
concerned, most
Departments appear to be opting for a mixed approach under which many
requests may
be disposed of locally, with more sensitive requests being referred
to a central unit. It may
be that some work could be usefully done, whether by the DCA, as the
lead Department
on FOI, or the FOI Practitioners Group, on developing an even clearer
model for the
handling of requests, ensuring a consistency of service levels across
central government.
The same point could be made in relation to the handling of complaints.
Page. 25
7.3 Culture Change
All departments reported on their efforts to raise staff awareness
of FOI, typically
distinguishing between consciousness raising and training. Clearly
there was also a demand
for training materials which the Commissioner and the DCA will need
to address over the
coming year, perhaps making available relevant cases from other jurisdictions
which may
illustrate the sorts of decisions which are likely to face departments
when asked for
information.
The draft Section 45 Code counsels against the acceptance of unnecessary
confidentiality
clauses in public sector contracts. This is clearly a message which
has struck home with
many departments reporting a review of their existing contracts. There
was less general
acceptance that relations with the media may change as a result of
FOI rights. Experience
from other jurisdictions suggests that at least in the early days,
there may be considerable
use of the right to know by journalists and the Commissioner would
certainly advise
Departments and their press offices to explore this issue further.
There was some recognition of the fact that the process of policy formulation
may have to
change as a result of FOIA, for instance by separating factual information
more clearly
from pure advice. A number of responses referred to the example of
the Welsh Assembly
which may have gone further down this road than Whitehall. Again, this
is an area which
warrants further attention over the coming year.
7.4 Shaping the work of the ICO
A theme emerging from a number of the responses was of some confusion
between the
roles of the DCA, as the lead department within Whitehall for FOI and
the sponsoring
department for the Information Commissioner, and the Commissioner as
the independent
regulator created by the Act. While in reality these roles are separate
but complementary,
more may need to be done to explain them. (It may also be worth reflecting
that similar
confusion was occasionally experienced in the period leading up to
the implementation of
the Data Protection Act 1998. Once the Act came into force, however,
the
Commissioner’s independent regulatory role became much clearer.)
There was a call for more advice on a range of issues from the fees
regime through to the
meaning of the exemptions and the application of the public interest
test. Many of the
suggested topics for advice and guidance are already in hand. The relaunch
of the
Commissioner’s web site should also facilitate the dissemination of
this information. The
DCA’s programme of work referred to earlier, is also designed to meet
the need for advice
and guidance.
Finally it is worth commenting upon the willingness of all the responding
departments to
engage in dialogue with the Commissioner. This is certainly an attitude
which the
Commissioner will wish to encourage both in the lead up to full implementation
of the
Act and thereafter, recognising that even when called upon to review
the decisions of
Page. 26
departments the underlying assumption is that departments are committed
to the agenda of
greater openness and accountability.
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Page. 29
APPENDIX 2: List of Departments
Cabinet Office
Department for Culture, Media and Sport
Department for Education and Skills
Department for Environment, Food and Rural Affairs
Department for International Development
Department of Trade and Industry
Department for Transport
Department for Work and Pensions
Department of Health
Export Credits Guarantee Department
Foreign and Commonwealth Office
HM Customs and Excise
HM Treasury
Home Office
Department for Constitutional Affairs
Ministry of Defence
Office of the Deputy Prime Minister