Transcript The Robert Gordon University

Freedom of Information
Briefing
2006
Today’s topics.....
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
•
Introduction
Benefits of FOI
Countries with FOI Legislation
Legislative context
The RGU approach to FOI
The Act
The Publication Scheme
Rights of Access
Dealing with requests
Exemptions
Fees
Environmental Information
Data Protection Act
Scottish Information Commissioner
Requirement for Review
FOI Officers responsibilities
Public confidence
Any Questions
Freedom of Information TV Advert
Benefits
“Openness is central to a modern,
mature and democratic society.”
- Scottish Executive, An Open
Scotland, 1999
Accountability – Transparency –Trust
Good practice – Protects rights
Good institutional governance
Countries with FOI legislation
Legislative context
• Human Rights Act 1998
• Data Protection Act 1998
• Freedom of Information Act 2000
• Freedom of Information (Scotland)
Act 2002
• Environmental Information
(Scotland) Regulations 2004
University’s approach to ‘FOI’
• Records Services
• Source of expertise - policy and guidance
• Record keeping and Administration
• Awareness raising - training
• Freedom of Information Officer network
• At least one FIO per School &
Department
• Internal co-ordination
• Local liaison point
Freedom of Information
(Scotland) Act 2002
3 strands:
• Individual requests
•From 1 January 2005
• Publication scheme
•http://www.rgu.ac.uk/foi/
•Must publish in line with obligations
•Must keep up to date
• Records management
•Offers business benefits too
Freedom of information in
context
The Freedom of Information
(Scotland) Act 2002
• Provides a right to access
information held in Scottish
public authorities. This
should,
– Lead to increased
accountability
– Help to breakdown ‘culture
of secrecy’
– Ensure that public bodies
look outward to the
communities they serve.
Outline of the FoI(S)A
• An authority subject to the FOISA must
– Publish information under a Publication
scheme which has been approved by the
Scottish Information Commissioner
– Respond to specific requests for recorded
information held by it and supply the
information requested unless an exemption
applies
– Ensure that the records it holds comply
with Records management standards.
Publication Schemes
• Schemes must specify
– The Classes of information
which the authority publishes
or intends to publish
– The manner in which the
information is to be published
and
– Whether the published
information is available free of
charge or for payment
Rights of Access
• Anyone, anywhere
can make a request
under the FoI(S)A
• Any information held
in a recorded form is
covered by the
FoI(S)A
• Access requests can
be made by children
who have sufficient
understanding. A child
over 12 years is
presumed to have
such understanding.
Request for access
• Must be in writing or other
permanent form
• Must state the name of the
applicant and an address
for correspondence
• Must describe the
information which the
applicant seeks
• May express a preference
for the information to be
provided in a specific way
e.g. in Braille
Individual requests
• What counts as a request?
– A query seeking any
information of any age
about anything
– From anyone, of any
age, anywhere in the
world, for any reason
– Does not have to
mention freedom of
information
• Cannot ask why they want
to know
• Only applies to recorded
information
Section 60 Code of Practice
• The Code covers :
– The provision of advice and
assistance to those making
requests for information
– The transfer of requests
between authorities
– Consultation with interested
parties
– Terms of contracts entered into
by authorities
– How authorities should handle
reviews and complaints
– Monitoring requests
http://www.scotland.gov.uk/Publications
Freedom of Information
Officers’ Responsibilities
• Estimate fees to be charged as appropriate.
• Liaise with Record Services
• Co-ordinate information collection
• Offer general guidance/advice to colleagues
• Offer guidance and advice on exemptions
Implications for staff
• Any request for information must be
answered in 20 working days (Monday to
Friday) excluding bank holidays.
• We cannot ask why they want to know
• If it is in your remit and you have no
concerns, answer it
– Otherwise contact your manager or the
Records Manager for further guidance.
• Make sure someone can find information in
your absence
• All documents & e-mails may be open to
scrutiny.
Dealing with requests
• The University has an obligation to provide
advice and assistance to all applicants.
• The applicant may have to supply further
information to enable the required
information to be found.
• The University does not have to comply with
repeated or vexatious requests these may
be Exempted.
Exemptions
• There are two kinds of
exemptions:
• Absolute exemptions and
• Non-absolute exemptions
Absolute Exemptions
Where an absolute exemption applies
the University does not have to
consider the public interest in the
disclosure of the information before
refusing to supply it.
Absolute Exemptions : 1
Information which the applicant can
reasonably obtain because it is available to
members of the public by another route:
– Available under the University’s
publication scheme
– Made available under an enactment or
– Made available by the Keeper of the
Records of Scotland
Absolute Exemptions : 2
• Information which is subject to an obligation
of confidence that is
– The information obtained by the University
from another person (which may include
another public authority) and
– The person who made the disclosure could
take court action for an order to stop the
University disclosing the information
Absolute Exemptions : 3
• Information which relates to a living
individual and the application for
access to the information is made by
that individual
• In those circumstances the individual
will be entitled to access the
information using his or her rights
under the Data Protection Act 1998
Non- absolute exemptions : 1
The information will only be exempt if
its disclosure will result in prejudice to the
public interest and, in any event, the
University must acknowledge that it
holds the information and give reasons for
the refusal to supply it.
Non-absolute exemptions : 2
Information derived from a research
programme in respect of which
–Premature disclosure would
substantially prejudice the programme
or the interests of the participants
–there is an intention to publish within
the next 12 weeks and it is
reasonable not to give access pending
publication
Non-absolute exemptions : 3
• Information, the disclosure of which would or
would be likely to prejudice substantially
– collective responsibility of Scottish
Ministers
– inhibit the provision of advice or exchange
of views or
– Otherwise prejudice substantially the
effective conduct of public affairs
Non-absolute exemptions : 4
• Information which constitutes a ‘trade
secret’.
• Information which, if disclosed, would
prejudice substantially the
commercial interests of any person
• Information which, if disclosed, would
prejudice substantially the economic or
financial interests of the whole or
part of the UK
Non-absolute exemptions : 5
• A deceased person’s health record
• Information which relates to a living individual
where the request is made by a person other
than that individual if
– The information would not be disclosed to
the individual (him or her self) or
– The individual has lodged an objection which
has been accepted by the authority
Non-absolute exemptions : 6
• Environmental information which is
available under other legislation –
Environmental Information
(Scotland) Regulations 2004
• Information the disclosure of which
would endanger the physical or mental
health or safety of an individual
Non-absolute exemptions : 7
• Information the disclosure of which
would prejudice substantially the
exercise of audit functions of a
Scottish authority or the
examination of the economy,
efficiency and effectiveness with
which the authorities use their
resources
Non-absolute exemptions : 8
• Communications with the
Queen
Fees
• The University does not have
to charge a fee but may do so
up to a maximum of £600
• If a fee is to be charged the
University must tell the
applicant of the proposed fee
by sending a Fees Notice
after it receives the request
• Prescribed fees regulations
exist
Environmental Information
• Environmental information is very
widely defined and the current
definition covers:
–The state of any water or air, flora,
fauna, soil land or other natural site
and
–Any activities or measures which
either adversely affect or which are
designed to protect any of the
above
Environmental Information
(Scotland) Regulations
• The University must deal with requests within
20 days or within 40 if additional time is
required
• A fee can be charged but should be
reasonable and not exceed the cost of
providing the information
• Exceptions to disclosure less than exemptions
under FoI(S)A
• Regulations came into effect from 1st January
2005
Data Protection Act and FoI(S)A
• Where an individual asks for access to
personal data about him or herself the
request does not come under the FoI(S)A.
It is covered by an exemption from the
FoI(S)A. If the authority is sure of the identity
of the applicant it should be treated as an
application for Subject access under the
Data Protection Act 1998.
Data Protection Act and FoI(S)A
– Third party access requests
Information will be exempt under FoI(S)A if
– The disclosure would involve a breach of
the Data protection principles
– The information would not be provided to
the data subject himself because of the
application of a subject access exemption or
– Where the information would fall under the
DPA, the individual has exercised his right
to object to processing and the objection
has been accepted by the data controller.
The Scottish Information
Commissioner
• The Commissioner must
– Promote good practice by
Scottish public authorities
in following the FoI(S)A
and the codes of practice
– Consider what information
it is desirable to have
made available to the
public about the FoI(S)A,
its operation and good
practice in relation to it
Kevin Dunion
and ensure that such
information is made
Scottish Information
available.
Commissioner
Requirement for review
• An applicant who is not satisfied with a response from
the University to an access request may, within 40
days, require the University to review its decision
• The University must do so, usually within 20 working
days
• If the request was vexatious or repeated the University
need not review it but must respond to the request for
review.
Decision of Commissioner
• If the complaint is frivolous or vexatious the
Commissioner may reject it
• The Commissioner must contact the University
and invite its comments on any complaint
which he handles
• The Commissioner may seek to resolve the
complaint
• If the complaint is not withdrawn or settled he
must issue a decision notice stating whether
the University has complied with the FoI(S)A
Failure to comply
If the University fails to comply with an
information notice, decision notice or
enforcement notice the Commissioner
may bring the authority before the Court
of Session which may deal with the
failure as a contempt of court.
Popular areas for requests
• Commercial
information
• HR policies and
procedures
• Student policies
and procedures
•Core decisionmaking processes
• Topical issues
• Funding sources
and expenditure
• Enthusiasts
• Campaigning
groups
• Student issues
• Community issues
Recent RGU Enquiries:
• Information sought about legal courses and the satisfaction rating.
• Details of investments of RGU Value of RGU's total investment assets.
Number and value of shares that the University holds directly in a
number of companies as of 31 March 2006 (Action group)
• Statistical information sought about Law Courses (Researcher)
• Statistical information from HR re the historical and changing nature of
women’s participation as both employees and students at RGU.
(Researcher)
• Appeals procedure information requested. (Student)
• ICT Contracts (Commercial organisation)
• Academic misconduct by researchers (Press THES)
• University Courses (MSP)
• Students' Academic misconduct (Press EE)
• Pass lists for two RGU Courses (Student)
• RGU IT Strategy (MSc Student at other University
• Academic quality information
Public Confidence, but .....
The Commissioner, Kevin Dunion, said:
• “ The Scottish public recognise that the freedom of
information act is a powerful tool, and the
indications are that they are seeing the benefits of
it. People are confident that more information will
come into the public domain as a result and fewer
believe authorities can get round the Act.
• However people still remain to be convinced that
Scottish public authorities are changing culture to
become more open and accountable.”
Positive Feedback
• The survey revealed that members of the public view the law
positively.For those who reported having made requests since the
law came into force in 2005, 76% had received some or all of
the information they had requested.
• 68% of respondents to the survey agreed that, as a result of
FOISA, more public authority information is available now than
before.
• The proportion of respondents who agreed that public authorities
would find ways around the law and avoid providing information
has decreased since the last survey from 66% to 57%.
• However, the research also showed that people are less sure than
in previous surveys that public authorities are becoming more
open and accountable as a result of the Act. 60% of respondents
agreed that they are, compared with 67% in the previous survey.
Further Information
• RGU’s FoI Homepage
www.rgu.ac.uk/foi
• Scottish Information
Commissioner’s Office
www.itspublicknowledge.info
• Universities Scotland
Guidance/Advice on specific
FoI topics
www.foi-he.org/index.htm
Any Queries ?
Thank you for
listening today.