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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.
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    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


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    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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    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