FREEDOM OF INFORMATION POLICY

Transcription

1 FREEDOM OF INFORMATION POLICY KICKSTART ACADEMY HAVE FORMALLY ADOPTED THE TCAT POLICY DATE ADOPTED: January 2016 AUTHOR: D. ROSE DATE APPROVED: 22 FEBRUARY 2016 APPROVED BY: LOCAL GOVERNING BODY REVIEW DATE: FEBRUARY 2017

2 2 P a g e

3 Policy Name dom of Information Policy Policy Version 1 Department / Area Vice Principal of Finance and Resources Created By Vice Principal of Finance and Resources Amended By Vice Principal of Finance and Resources Last Updated December 2015 Approved by SLT January 2016 Next Review December 2016 Equality Impact Assessed Not applicable legal requirement Document REF Category Public Covers Staff / Student / Both 3 P a g e

4 dom of Information Policy Introduction 1.1 The College actively seeks to share information about itself and its activities, subject to the constraints of Data Protection legislation and certain sensitive matters explicitly addressed by the dom of Information Act TCAT believes that the dom of Information associated with the College is a fundamental value. 2. dom of Information Act 2000: Publication Scheme 2.1 The dom of Information Act 2000 (FOIA) came into force in the UK on 1 January 2005 and provides individuals or organisations with the right to request information held by a public authority. The public authority must tell the applicant whether it holds the information requested and must normally supply the information, in the requested format, within 20 working days. The purpose of the FOIA is to promote greater openness by public authorities, which include further education colleges. 2.2 All public bodies, including FE Colleges, are required to adopt a publication scheme under Section 19 of the dom of Information Act TCAT has adopted the model publication scheme for FE Colleges published by the information Commissioner s Office in The scheme provides a description of the classes or types of information that the Information Commissioner expects colleges to make available to the public. The Information Commissioner s Office published a definition document for Further Education Colleges in England, Wales and Northern Ireland in 2013: _of_information/detailed_specialist_guides/definition-document-colleges-of-furthereducation.pdf 3. Definitions 3.1 The main legislation covering freedom of information is the dom of Information Act As the College is a public body it has a legal obligation to provide information through an approved publication scheme and in response to requests. 3.2 Recorded information includes printed documents, computer files, letters, s, photographs and sound or video recordings. 3.3 The Act does not give people access to their own personal data (information about themselves). 4. Related Policies and Documents 4.1 Accessing Information under the dom of Information Act guidance documents 4.2 Safeguarding Policy 4.3 Public Interest Disclosure (Whistleblowing) Policy 4 P a g e

5 4.4 Data Protection Policy 4.5 The Equality Scheme 4.6 Other policies and documents may be identified from time to time as circumstances change and may be added to this list. 5. Implementation, Monitoring and Review 5.1 Publication of information listed in the Publication Scheme (Appendix A) will be the responsibility of the manager named in the publication scheme. 5.2 Members of the public should expect access to documents listed in the Publication Scheme within 5 working days of placing an order and making the required payment. 5.3 In addition to the information listed in the Publication Scheme, the College will share any other information that it holds, as quickly as possible and without charge, unless it: a) Does not exist b) Is information reasonably accessible through another route c) Is information in respect of an investigation that related to criminal proceedings, either current or potential d) Relates to the prevention or detection of crime e) Relates to Court records, including information relating to legal proceedings f) Is personal information g) Is information provided in confidence h) Is planned to be publically disclosed in the future i) Is likely to endanger health and safety j) Is covered by legal privilege k) Would prejudice commercial interests l) Is vexatious or repeated 5.4 The above exemptions are not absolute in as much for some of them the College will undertake a public interest test to determine whether the information should be disclosed. 5.5 Access to information held by the College under the dom of Information Act will be overseen by the Vice Principal Finance and Resources. 6. The Vice Principal Finance and Resources will: a) publish on the College website and in printed form the College Publication Scheme; b) publish on the College website and in printed form the College procedure for Accessing Information under the dom of Information Act and will provide assistance to persons wishing to access information but who are unclear about the process; c) take steps to ensure that the information contained in publications listed in the publication scheme is as up-to-date as possible; d) acknowledge access requests within 2 working days of receipt; e) where further details of the information requested are needed before access request can be dealt with, send a letter or requesting that information within 5 working days of receipt of the access request; 5 P a g e

6 f) where a fee is to be paid, send a letter or setting out details of the fee to be paid within 5 working days of the receipt of the access request or, where applicable, further details of the information request are received; g) make the information accessible in the form which the applicant requests within 20 working days of receipt of the original request or within 20 working days of the receipt of clarification about the request if it was required; h) in some instances an extension to the timescale may be required either due to the complexity of the request or in determining whether the request should be complied with. The College is to notify the person requesting the information of the extension which should not normally be in excess of ten working days; i) where the information is exempt or the access request is vexatious or repeated, the Vice Principal Finance and Resources will send a refusal notice to the applicant setting out the reason for refusal with, where necessary, the category of exemption claimed and drawing attention to the appeals procedure; j) where the information is exempt, the Chief Operating Officer will decide whether to confirm/deny or not in the refusal notice the existence of the information following the guidance in the Act; k) where the refusal is on the grounds that the information is available elsewhere, the Vice Principal Finance and Resources will, in the refusal notice, guide the applicant on where to access the information; l) the Vice Principal Finance and Resources will direct appeals to the Principal within five days of receipt, and the Principal will complete the appeals process. 7. Requests and Appeals 7.1 If the request cannot be addressed immediately it will be subject to a fee of 25 per hour for the work required to meet the request, subject to a maximum of 450. This must be paid before the information is released. 7.2 The Vice Principal Finance & Resources will present a termly report to the Senior Leadership Team and an annual report to the Corporation detailing access requests received. For each individual request, the report will give: a) The date of the request; b) The subject(s) of the request; c) Whether the request was made by an individual or a legal person, such as a company or corporation; d) The College response to the request; e) Where the response to the request was to give access: - the time taken to satisfy the request, and - the marginal cost of providing access and any fee charged. f) Where the response to the request was to refuse access: - the reason for the refusal including the category of the exemption cited where applicable, and - the response of the applicant to the refusal. g) Where an appeal against a refusal has been made and the outcome of the appeal. 6 P a g e

7 h) The report will not give names or other personal details of the applicants, however it will where refusal to give access has been made on the grounds of repeated requests which will then include a note showing which requests were made by the same person. 8. Contacts and Complaints 8.1 The contact for requests for information, either through the Publication Scheme or under the terms of the FOIA, and any comments or questions about the policy and procedures is: David Rose Vice Principal Finance & Resources Telford College of Arts & Technology Haybridge Road Wellington Telford TF1 2NP Tel: (01952) foi@tcat.ac.uk 8.2 If you are unhappy with the way in which the College has dealt with a request for information, you are entitled to write, in the first instance to: Chris Scott Principal & Chief Executive Telford College of Arts & Technology Haybridge Road Wellington Telford TF1 2NP Tel: (01952) Information Commission s Office The College will do everything in its power to meet the needs of individuals or organisations requesting information. However, if the College is unable to resolve a complaint under the process set out in this policy document, the applicant has the right to write to the Information Commissioner, an independent body which oversees the implementation of the dom of Information Act. The address to write to is: 7 P a g e

8 Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF Tel: (local rate) or if you prefer to use a national rate number Fax: Website: 8 P a g e

9 dom of Information Act Publication Scheme Appendix 1 Main Categories The College s publication scheme deals with eight main groups of information, each with a number of classes of information within it. The groups are set out in alphabetical order; no one single section has a higher status than another. The main groups of classes of information in the College s publication scheme are: 1. External relations 2. Financial resources 3. Governance 4. Human resources 5. Information services 6. Student administration and support 7. Physical resources 8. Teaching and learning The layout of the College publication scheme is shown below: Classification Description Manner Fee The type of information that fits in this class. A brief description to aid the public in understanding what the type of information is. The media in which the information is to be provided i.e. paper or electronically (via the internet or ). Whether there is a charge for any of the information within each class. 9 P a g e

10 1. External Relations Introduction This section covers information relating to the College s relationship with its external environment. These include the formal reports the College is required to provide to its funding bodies 1, arrangements with other colleges, how it manages its relationship with the local community and how it retains contact with its former staff and students. By virtue of its nature the majority of these classes are already made available to the public in some means. Members of the public are also likely to find the same or related information is available from the external partners with which the college has links. 1.1 Classification Government and regulator Description This class contains information that the College is legally M a relations obliged to make available to its funding and/or monitoring bodies. Such material may provide information as to how well the College is performing. Examples of the type of information in this class include: Reports/returns to funding councils, inspectorates, standards bodies, research councils, professional bodies and government departments etc Inspections under the common inspection framework Fee 1.2 Marketing and recruitment This class lists publications relating to student recruitment including the A-Z and full-time prospectus. It also includes information related to the learning experience. information in this class include: Prospectus Open days Entry requirements Widening participation 10 P a g e

11 1.3 Classification Public relations Description This class contains information that is created specifically by M a the College to help publicise its facilities and activities. F o r e x a m p l e : Press releases; Prospectus; Course brochures; Newsletters and magazines; Current information provided to an enrolled student such as induction material. Marketing strategy Fee 11 P a g e

12 1.4 Classification Our Partnership Description Skills Funding Agency: M a Organisations Internet Fee Ofsted: Department for Business, Innovation and Skills: -for-business-innovation-skills Department for Education: -for-education University of Wolverhampton: University of Worcester: Telford & Wrekin Council: Shropshire Chamber of Commerce: Telford Business Partnership Association of Colleges: Information about working with schools, universities, employers and community Internet Internet Internet Internet Internet Website or paper or fees policy 12 P a g e

13 Classification Description M 1.5 Student Associations and Student Council Constitution, Student Council Annual or paper a Activities Reports and details of current activities or events Fee or fees policy 13 P a g e

14 2. Financial Resources Introduction This section covers information on the College s strategy and management of financial resources. The finance department provides accounting, procurement and contracting services, helping to make best use of resources and fulfilling statutory responsibilities. Information that may damage the College s commercial interests will be excluded from publication. Classification Description Manner Fee 2.1 Finance This class contains information including policies and procedures relating to: Budgets Contracting Goods and services Insurance Pensions Remuneration of senior staff as published in annual accounts Travel and subsistence Annual accounts and annual report 2.2 Resource planning This class contains information that defines how the College undertakes its planning and resource allocation, how it regulates the deployment of resources and how it publishes the outcomes. Examples include: Financial regulations including procurement policy, contracts available for public tender Annual budget (as appears in the management accounts) Planning and budgeting procedures Corporate plan/mission statement List current major contracts as a result of formal tendering process Estates strategy 14 P a g e

15 3. Governance Introduction This section covers information relating to the way the College is governed and how decisions are made. It includes information on the legal status of the College which individual member of staff or group within the organisation is responsible for specific functions and where the y fit in the overall structure of the organisation. In some instances information from committee minutes will be exempt from disclosure where it contains personal information or information that may damage the commercial interests of the College or that may threaten the health and safety of specific individuals. Classification Description Manner Fee 3.1 Legal framework The College was established and its standing from the point of view of the law was conferred by the relevant statutes, in particular the Education Reform Act of 1988 and the Further and Higher Education Act The actual legislation is already publicly available, for example on the HMSO website ( and will not be published further by the College Management Structure The College will make available information relating to how the individual departments of the College are organised and where each department fits in the overall structure of the College. This will include: Organisational structure charts Description of work/responsibilities of curriculum teams and support areas 3.3 College Strategy The College will make available: The Corporation s mission statement Statement of the Corporation s quality improvement policies and procedures The Corporation s learning and teaching strategy and periodic review of progress 15 P a g e

16 Classification Description Manner Fee 3.4 The Corporation The College will make available information relating to how the Corporation s governance model is organised and the function and purpose of each part of that model including: A description of the Corporation, listing the names of people who are Members of the Corporation Code of Conduct for Corporation Members Standing Orders and other governance framework documents that indicate the Corporation s mode of operation Corporate objectives, terms of reference, membership and mode of operation of all Committees Minutes of meetings of the Corporation and its committees. The following minutes are available: - Governing Body - Finance and Resources Committee - Audit Committee - Search Committee - Quality and Standards Committee - Safeguarding Sub-Committee A calendar of meetings for the Corporation and its Committees for the current academic year All Remuneration Committee meeting minutes and some Governing Body and Committee minutes are confidential due to Data Protection and Commercial Sensitivity issues. Papers from meetings are available on request unless identified as confidential but the reasons for this will be given including the date of review or release. 16 P a g e

17 4. Human Resources Introduction This section covers information on the College s strategy and management of human resources, rather than information relating to individual members of staff which is exempt from disclosure as personal information. The information available covers personnel policies and procedures (including terms and conditions of service including all current versions of the information specified in each class). Classification Description Manner Fee 4.1 Employment and employee relations 4.2 Equal opportunities/ diversity The College will make available information including: Policies, statements, procedures and guidelines relating to recruitment Generic terms and conditions of employment Salary grades Collective bargaining procedures and consultation with recognised trade unions and professional organisations and agreements reached Grievance procedures and policies Disciplinary procedures and policies Health and safety policy and procedures Health and Safety reports Health and Safety Committee minutes Health and Safety Committee terms of reference Public interest disclosure (for compliance with the Public interest Disclosure Act) Job vacancies; Any other policies relating to staff not included elsewhere in the publication scheme. The College will make available information including: Policies, statements, procedures and guidelines relating to the provision of equal opportunities with respect to age, race/ethnic origin, gender, religion and belief, sexual orientation and disability 17 P a g e

18 Classification Description Manner Fee 4.4 Staff development The College will make available information including policies and procedures on staff development and training, induction programmes, probation and appraisal but will not publish personal data. Examples include: Induction details of areas covered and procedures; Policies and procedures pertaining to appraisal; Information relating to the ongoing development of staff including schemes such as Investors in People. 18 P a g e

19 5. Information Services Introduction This section covers information on functions within the College that provide access to information to students and to academic and administrative staff including libraries, computing services and information support services. These functions are managed separately from each other but routinely explain their facilities (and the conditions of their use) to students, staff and the general public; information of this nature that is included within this section. Information services inevitably hold large quantities of personal data that are exempt from general disclosure. Classification Description Manner Fee 5.1 Availability and conditions of use of facilities Information in these classes provides details about who can access systems and services and the facilities that they can access. Examples include: Opening hours of reception, helpdesks etc. and scheduled maintenance times of systems Who is allowed to use the facilities (for example, categories of persons and their associated rights/levels of access) The general rules and conditions of use (e.g. no smoking/drinking/eating, the existence of policies with regard to law such as copyright, computing code of practice and data protection). For other learner policies, see reference to other relevant learner policies in the publication scheme Access to/use of archives including how far back in time information exists and if so to what extent it is available Details of logging, monitoring and procedures followed in case of breach of conditions of use 19 P a g e

20 Classification Description Manner Fee 5.2 Mission statements and related documents This class includes information regarding the aims of each section of the College in context of its place in the organisation, a definition of the service provided and where appropriate service level agreements. For example Learner Services Handbook CASA information on services 5.3 Policies with regard to data and information Information in this class offers assurances to data subjects, whether they are individuals or companies that deal with the college, that data relating to them is being handled well, minimising the risk of unauthorised access or disclosure. Examples include: Security policies (i.e. how the data is protected), where there is no risk that publication will lead to a security breach; Data retention and archive policies (how long it is kept for, what happens to it after the need for it has passed, anonymising data to keep for statistics); Data protection statements/policies; Policies on CCTV monitoring, etc. 5.4 Procurement and disposal policies Information in this class offers assurances that monies are being appropriately spent and assurances that procurement is fair and open. Examples include: Policies for procurement and disposal of equipment Collection management/preservation strategy (including policy on disposal of stock) 20 P a g e

21 6. Student Administration and Support Introduction This section covers information on how the College manages the administration and progression of their students from admission to course completion including student support services. Information available within this section does not include specific student personal details, by virtue of being personal information. Classification Description Manner Fee 6.1 Information on learner admission, progression and completion Learner qualifications on entry The range of learner entrants classified by age, gender, ethnicity, socio-economic background, disability and geographical origin as returned to SFA Learner progression, retention and completion data Data on qualifications awarded to learners Data on employment/training outcomes for learners 6.2 Learner administration This class includes information relating to all areas of the maintenance of individual learner records including policies and procedures covering the management of the learner records system itself and the division of responsibilities between MIS staff, school/directorate/college staff and the learners. Examples include: Learner records policies and procedures documents Security and data protection policy and procedure documents 21 P a g e

22 Classification Description Manner Fee 6.3 Learner admission and enrolment This class includes information relating to the admission/enrolment process including policies and procedures covering the assessment of external qualifications, the creation of learner records, the coordination of learner funding arrangements and the division of responsibilities between central admissions and curriculum area staff. E x a m p l e : Admissions and enrolment policies and procedures documents Health declarations and learning support admissions procedures 6.4 Learner discipline This class includes information relating to the conduct of disciplinary proceedings against learners. Examples include: Citizenship Code Learner Disciplinary records Internal learner complaint and appeals procedures and records 6.5 Learner support services This class includes information on learner support services from an academic and learning perspective, particularly those not covered under information services. This appears in the learner handbook and prospectus. Examples include: Services for learners with learning difficulties Learner Centre Plus information and access monitoring Pastoral support information 6.6 Learner Voice This class includes information relating to the structure and functioning of Learner Voice and Council. 22 P a g e

23 Classification Description Manner Fee 6.7 Learner policies This class includes a guide to all learner policies issued by the college: Policies relating to learner not included elsewhere in the college publication scheme 6.8 Learner welfare Examples of the type of information in this class include: Welfare/advice services Health services Careers services Sports and recreational facilities Finance 6.9 Learner Council Associations and non-academic activities organised for or by the learners. Examples include: Learner Council constitution, code of practice, list of officers and any other related documents. 23 P a g e

24 7. Physical Resources Introduction The College Corporation is a substantial land and property owner in its own right. Classes in this section cover information at a strategic level relating to the College s management of its physical resources. Information that provides specific details of the College s future plans to alter its estate (e.g. proposals to purchase additional property) will be exempted from disclosure where such disclosure would damage the college s commercial interests. Classification Description Manner Fee 7.1 Estates Examples of the type of information in this class include: Estates strategy and plan Tendering policies Catering policies Cleaning policies Grounds maintenance and upkeep Building maintenance and upkeep Recycling policies Disposal policies Map of main site Address of main site and any other locations 24 P a g e

25 8. Teaching and Learning Introduction This section contains information regarding the management of teaching and learning within the College including mechanisms f or reviewing and ensuring the quality of teaching provided. Classification Description Manner Fee 8.1 Academic year dates College Calendar 8.2 Further course information This class includes information relating to particular schools and departments also information relating to programmes and qualifications. Examples of the type of information in this class include: Term dates Structure of courses Qualifications gained Changing courses Work experience 8.3 Information on internal procedures for assuring academic quality and standards Examples include: a) Information on programme approval, monitoring and review: Programme specifications and valuation procedures Annual monitoring and review processes Accreditation and monitoring reports by professional statutory or regulatory bodies Learning area moderation standardisation procedures b) Information on assessment procedures and outcomes: Assessment strategies, processes and procedures The range and nature of learners work 25 P a g e

26 Classification Description Manner Fee c) Information on student satisfaction with their college experience, covering the views of students on: Arrangements for academic and tutorial guidance support and supervision Library services and IT support Suitability of accommodation, equipment and facilities for teaching and learning Perceptions of the quality of teaching and the range of teaching and learning methods Assessment arrangements Quality of pastoral support. d) Information and evidence available to teams undertaking internal reviews of quality and standards in relation to: The effectiveness of teaching and learning in relation to programme aims and curriculum content as they evolve over time The range of teaching methods used The availability and use of specialist equipment and other resources and materials to support teaching and learning Staff access to professional development to improve teaching performance including peer observation and mentoring programmes The use of external benchmarking and other comparators Course Team Meeting minutes Self-Assessment Report Executive Quality Meeting minutes Course evaluations 26 P a g e

27 Classification Description Manner Fee 8.4 Staffing structure of schools/directorates Examples include: Organisation charts Job titles of academic staff and support staff Contact details for each school/department 8.5 Learner assessment strategy This class includes information on the regulations and/or policy governing learner assessment. Examples include: Examination periods Examination regulations Appeal procedures Policy on plagiarism External examination bodies 8.6 Tuition fees This class includes information relating to tuition fees for UK learners, EU students and other international students including information on when tuition fees will be payable and how to pay. Examples include: Information for home/eu students Information for international students Information on other charges. 27 P a g e

28 Appendix 2 dom of Information Appeals procedure 1. Introduction 1.1 Section 12 of the Section 45 Code of Practice of the dom of Information Act (FOI) places a duty on public authorities to put a process in place to ensure that applicants are able to appeal to the public authority for an internal review if they are not content with the public authority s decision on the release of information. This provides a first review stage for the applicants. 2. Appeal Process 2.1 Principles If the College refuses to supply the information requested, or the applicant is dissatisfied with its response or feels that a fee has been applied unfairly they may ask for an internal review of that decision. The following principles will apply when considering an appeal request: a) The review will be undertaken by a member of the senior team (normally the College Principal) who was not involved in the original request for information. b) If the applicant has not received a response to a request for information within 20 working days it may be regarded that the College has refused the request; the individual therefore has a right of appeal. c) All reviews will make an assessment of the information released against the information requested and make a full review of the information associated with the original application. d) The reviewer will discuss the decisions made with the staff members concerned with the original request in order to gain a full picture of how decisions were made. e) The reviewer may contact the applicant at their own discretion. f) The reviewer may obtain advice form external sources including legal advice. g) Conclusion will be summarised and handed to the Vice Principal Finance and Resources, David Rose, who will log them centrally for future reference. h) An internal review must be completed before an appeal can be made to the Information Commissioner. 2.2 Timescales a) The College will aim to deal with simple appeals within 3 weeks of the receipt of the appeal. b) The College will aim to deal with complex appeals within 6 weeks of the receipt of the appeal. c) If it becomes clear at any stage of the appeal that the above timescales cannot be met the College will inform the applicant in writing and give a revised deadline for completion of the review. 28 P a g e

29 2.3 Outcomes An internal review may have three outcomes: a) The original decision is reversed. b) The original decision is amended. c) The original decision is upheld. Whatever the outcome of the appeal the complainant will be informed in writing with appropriate information about what will be provided should a decision be reversed or amended. 2.4 Requesting an Internal Review Requests for internal review should be submitted in writing to the Principal, Chris Scott. External Appeals If the applicant is not happy with the outcome of the internal review they have the right to request a review externally to the College. Requests for such an external review should be made in writing to: Information Commissioner's Office Wycliffe House Water Lane Wilmslow Cheshire SK9 5AF 29 P a g e

30 Appendix 3 30 P a g e

31 31 P a g e