NHS GRAMPIAN FREEDOM OF INFORMATION (SCOTLAND) ACT 2002 POLICY STATEMENT (For Staff)

NHS GRAMPIAN FREEDOM OF INFORMATION (SCOTLAND) ACT 2002 POLICY STATEMENT (For Staff) Lead Author/Coordinator: Information Governance Manager Reviewer: Senior Information Governance Officer Approver: Information Governance Steering Group Signature: Signature: Signature: Identifier: NHSG/IG/DOC/003 Review Date: 30 th April 2013 Approval Date: April 2011 UNCONTROLLED WHEN PRINTED V3.0

This policy is also available in large print and other formats and languages, upon request. Please call NHS Grampian Corporate Communications on (01224) 551116 or (01224) 552245. FOI Policy 2

Table of Contents 1. Introduction 4 2. Policy Statement 4 3. Scope of the Policy 5 4. Responsibilities 5 5. Records Management 6 6. NHSG's Publication Scheme 7 7. Handling Requests for Information 7 8. Monitoring 7 9. Charges 8 10. Requirement to Review 8 11. Exemptions under the Act 8 12. Available Guidance 9 FOI Policy 3

NHS GRAMPIAN FREEDOM OF INFORMATION (SCOTLAND) ACT 2002 POLICY STATEMENT 1. Introduction The Freedom of Information (Scotland) Act 2002 ("the Act") imposes a number of obligations on public authorities which for the purposes the Act includes NHS Grampian (NHSG). The Act gives a general right of access to recorded non-personal information held by public authorities subject to certain exemptions. In essence, members of the public have a statutory right: a. to obtain all information covered by NHSG's Publication Scheme from 1 st September 2004, (either from NHSG's internet site or in some other form); b. subject to certain exemptions, from 1 st January 2005, to request any information held by NHSG regardless of when it was created, by whom, or the form in which it is now recorded. This policy statement sets out our policy and the arrangements that NHSG has made to ensure compliance with the Act. It covers: Policy Statement Scope of the Policy Responsibilities Records Management NHSG's Publication Scheme Handling Requests for Information Monitoring Charges Requirement to Review Exemptions Under the Act Available Guidance 2. Policy Statement NHSG is committed to being open and honest in the conduct of its operations and in complying fully with the Act and the Scottish Ministers Codes of Practice. To this end NHSG will ensure: FOI Policy 4

a significant amount of routinely published information about NHSG is made available to the public as a matter of course through its Publication Scheme; other information not included in the Publication Scheme is readily available on request, and such a request is dealt with in a timely manner; in cases where information is covered by an exemption, consideration is given as to whether or not the information should be released; and staff are aware that it is an offence under the Act to alter, deface, block, erase, destroy or conceal a record with the intent of preventing disclosure. There will be occasions when NHSG will not be able to supply all the information requested. Information will only be withheld in accordance with the exemptions laid down in the Act, and in particular those concerning: NHSG's duties under the Data Protection Act 1998 to keep confidential information about individual patients and members of staff; Other legal and contractual obligations; or Material detrimental to the safe and efficient conduct of NHSG s operations or which is confidential/commercially sensitive or would substantially prejudice a programme of research. On such occasions NHSG will always state the reasons why information has been withheld. 3. Scope of the Policy This Policy applies to all NHSG employees and Non-Executive Directors in relation to all the information NHSG holds i.e. all the information created, received and maintained by staff of NHSG in the course of their work, (excluding personal and patient information). Information can be held in all types of media but will often be either paper or electronic. 4. Responsibilities NHSG has a responsibility to make its information available in accordance with the Act. The Information Governance Steering Group is responsible for ensuring compliance with this Policy, determining the policies that shall apply to information held by NHSG, and for establishing policies, procedures, and guidance for administering requests for information in compliance with the Act. FOI Policy 5

All staff, whether or not they create, receive or maintain information, have responsibilities under the Act. They must ensure that any request for information they may receive is handled in compliance with this Policy and in accordance with NHSG's Freedom of Information Guidelines. In general, staff are responsible for: Familiarising themselves with this Policy and the Freedom of Information Guidelines Providing advice and assistance to persons making requests for information Timeously passing on any information request to Corporate Communications Where applicable, maintaining the integrity of the Publication Scheme Contacting the Information Governance Manager when assistance is required. In particular: The Information Governance Manager has day-to-day responsibilities for coordinating NHSG's Freedom of Information function. These responsibilities include maintaining the Freedom of Information Guidelines, promoting compliance with the provisions of these Guidelines, and providing advice. Operational Management Team members are responsible for ensuring that information held within their areas of responsibility fully complies with the policies and procedures set by NHSG, including information processed by contractors, partners or other bodies working under service level agreements. Managers are responsible for ensuring staff under their direction and control are aware of the policies, procedures and guidance laid down by NHSG and for checking that those staff understand and appropriately apply policies, procedures and guidance in carrying out their day to day work. All staff are responsible for processing information in accordance with the Act, and the policies, procedures and guidance as laid down by NHSG. Compliance with this Policy is compulsory for all staff employed by NHSG. A member of staff who fails to comply with this Policy may be subject to disciplinary action under the appropriate NHSG Employee Conduct Policy. 5. Records Management NHSG has a separate policy with supporting systems and procedures to ensure compliance with the Scottish Ministers Code of Practice on Records Management under section 61 of the Act. The policy and associated procedures addresses issues of active records management - creation, keeping, maintenance and disposal - according to the requirements that the law places on NHSG FOI Policy 6

6. NHSG's Publication Scheme NHSG's Publication Scheme is available on the web at: www.nhsgrampian.org or in hard copy from NHSG Hospital Receptions, Summerfield House Reception, Health Centres, NHSG Library Services and Local Authority Public Libraries, or by request from Corporate Communications. The Publication Scheme will specify: what information NHSG will make routinely available to the public as a matter of course how it will do so, and whether or not this information will be made available free of charge or on payment of a fee 7. Handling Requests for Information Information not already made available in NHSG's Publication Scheme will be accessible from 1st January 2005 through a specific request for information. In this regard the Act establishes two related rights: the right to be told whether information exists, and the right to receive the information (subject to exemptions) These rights can be exercised by anyone - natural or legal persons, worldwide. These specific requests for information not listed in the publication scheme will be dealt with by the Directorate of Corporate Communications and, as appropriate, in conjunction with the Information Governance Manager. Any request must be made in a permanent form (for example in writing or by email) and a charge may be made for dealing with any request. Requestors will not be entitled to information to which any of the exemptions in the Act applies. However, only those specific pieces of information to which the exemption applies will be withheld. Information covered by an exemption will be subject to review by the Information Governance Manager and the appropriate Operational Management Team Member. 8. Monitoring NHSG's Information Governance Team will maintain a register of all requests made for information under the Act, the action taken on each application and any fees charged. The register will identify whether the same or similar information has previously been requested and provided, or refused, the reasons for the refusal, and any reviews carried out. This will ensure consistency in dealing with similar requests, and identify repeated, duplicate or vexatious requests. It will also identify recurring requests for the same or similar information not FOI Policy 7

included in the Publication Scheme, and allows NHSG to consider whether such information should be routinely published in the Publication Scheme. Performance in dealing with such requests, and instances and reasons when the time limit for reply has been exceeded, will be monitored by the Information Governance Manager, and reported to the Information Governance Steering Group. 9. Charges Unless otherwise specified in NHSG's Publication Scheme, information made available through the Publication Scheme will be free of charge. NHSG may however charge an appropriate fee for dealing with a specific request for information not listed in the publication scheme. This charge will be calculated according to the published 'Fees Regulations'. 10. Requirement to Review The public has 40 days in which to register a "requirement for review" where they are dissatisfied with the way NHSG has dealt with a request. The Directorate of Corporate Communications will maintain a register of all "requirement for review" requests, and co ordinate responses as follows: The complaint should be addressed to the Department of Corporate Affairs in the first instance, who will refer the matter to NHSG's Legal Adviser. The "requirement for review" will be acknowledged immediately and a more comprehensive reply will be received within 20 days. If applicants are dissatisfied with the outcome of the review, they may seek an independent review from the Scottish Information Commissioner. Requests for review by the Scottish Information Commissioner should be made in writing to: Scottish Information Commissioner, Kinburn Castle, Doubledykes Road, St Andrews, Fife KY16 9DS Telephone: 01334 464610 Fax: 01334 464611 e-mail: enquiries@itspublicknowledge.info 11. Exemptions under the Act FOI Policy 8

There are 17 exemptions under the Act, some exemptions where the public interest test applies, and others, which are absolute exemptions. The full list of exemptions can be found in the Act at www.itspublicknowledge.info/foiactcontents.htm NHSG may decide that some information it holds could be regarded as exempt information under the Act. Where a request is made for information which includes exemptions NHSG will consider the substantial prejudice test and the public interest test, and may in some circumstances withhold the requested information. 12. Available Guidance Guidance on the procedures necessary to comply with this Policy is available from: Chris Morrice Information Governance Manager Rosehill House Cornhill Road Aberdeen AB25 2ZG Tel No 01224 551054 Email : christopher.morrice @nhs.net and the Freedom of Information web site at www.nhsgrampian.org This Policy is authorised by Designation On behalf of Date FOI Policy 9

Freedom of Information Process: Statutory Deadline for Responses is 20 Days Stage Key Action Deadline Lead Resp. Other Actions Quality Control CLOCK START 1. Initial Application 2. Initial Request Processing First decision point Second Decision Point Third Decision Point: Details of enquiry received and sent to Corporate Communications by email: Grampian@nhs.net or fax: (5)50655 Enquiry forwarded to IGT on receipt. Acknowledgement Letter sent to applicant Does the information request meet any of the exemption criteria that can be assessed at this stage? i.e. (a) The information is exempt from disclosure under Part II of the Act. (b) the request is demonstrably vexatious or repeated Is the Request subject to a fee under a general right of access? Does request contain sufficient information to process. Within 1 working day of recipient receiving request Day after receipt is day 1. On day of receipt CC Section to be completed by day 2 If Yes applicant to be advised as soon as possible by no later than 10 working days). If No move to next stage. If Yes request the information internally. Recipient of request. IGM IGT IGM IGM IGM Note: Clock stops until fee is paid. Ongoing throughout process the IGT will Keep applicant informed of If Yes - Procedures for Refusal of Requests is followed. Levy Fee. (Note: NHSG does not currently levy a fee) 10

Freedom of Information Process: Statutory Deadline for Responses is 20 Days Stage Key Action Deadline Lead Resp. Other Actions Quality Control progress. Provide advice and assistance if required. If No within 2 working days, contact applicant for clarification. (Clock stops and resets) Once clarification received acknowledge receipt. Go back to the start of this stage. (ie new 20 day clock starts) If No: Clock stops if insufficient information provided by applicant to identify and locate information requested. If no clarification received within 3 months request is closed. IGM will ensure that the correspondence with the applicant: Informs the applicant of what further information is required to enable the request to be processed. Informs the applicant of any fee that is payable. 3. Requesting the Information 4. Response Gathering Information request emailed to relevant Executive Team Member(s) (or nominated deputy). Information request received by relevant Executive Team Member(s) (or nominated deputy). Within 2 working days of request being received, or request being clarified. Within 8 working days of receipt of request from IGT IGT Executive Team Member Where IGT know from experience who is likely within sectors to provide information they are routinely copied in as well where the Department Head/Director has requested this. Note 1: If the department feels there is not enough information, ask the IGT to seek clarification inline with 3rd Decision Point. (Note: Clock Stops) Note 2: If the department requires more time to respond to the request, All requests will be sent to appropriate Executive Team member for action. Request issued by email standard format. Executive Team member(s) is/ are responsible for ensuring that the information request is met within timescale and that the information submitted to the IGT is sufficient, relevant and reliable to answer the Request. Note: Notes 2 and 3 inclusive 11

Freedom of Information Process: Statutory Deadline for Responses is 20 Days Stage Key Action Deadline Lead Resp. Other Actions Quality Control inform the IGT as to when the information could be made available, extensions will be granted where time permits. Note 3: If the department feels that the request is contentious; they must arrange a meeting with the IGM within 2 working days of receipt. Note 4: If that the department feels that the cost of compliance with the request for information would be in excess of 40 working hours, provide evidence and inform the IGT within 2 working days of receipt of information request. do not stop the clock!! IGT will issue a Reminders as appropriate. Note 3: Directors of PI and CC to be advised by Executive Member if request is considered contentious at the time decision is made. Note 4: If information takes longer than 40 hours a request will be exempted if approved by the Director of PI and CC, and IGM will inform the applicant within 2 working days of this decision. If not approved the original 20 deadline still stands i.e. the clock keep ticking. However, where some of the information if available within the 40 hour limit that must be provided and the original timescale stands i.e. the clock does not stop. Response Guidance: Answer the question that is asked. Stick to the facts. If you are not the appropriate person to answer the query, find out who is and send it on promtly, ccing in the Executive Member If you do not have the information let Executive 12

Freedom of Information Process: Statutory Deadline for Responses is 20 Days Stage Key Action Deadline Lead Resp. Other Actions Quality Control Member and IG Team know immediately. 5. Finalising of Response Collation of information supplied by member(s) of Executive Team and preparation of response to application. Within 3 working days of receiving the response. IGM The IGM will consider the preferences of the applicant in regard to the format in which they wish to receive the information they have requested. The Executive team member is responsible for ensuring that responses from their sectors are quality controlled. IGT will contact Executive members responsible for submitting response for any issues for clarification and quality control, e.g. does the information supplied contradict other responses, has the question been answered etc. 6. Assessment of Response 7. Issue of Response Assess if response will generate reputational issues for NHSG. Respond to IGT Preparation of final response for issue. Within 2 Working Days of receipt of Draft response 1 working day Director of Performance Improvement & Director of Corporate Communications Clarification must be provided within 1 working day. Director of Performance Improvement & Director of Corporate Communications assess the response for issues around reputational management. IGM Political request to be sent to Chief Executive for signature and issue. IGM to issue all others. Legend: 13

Freedom of Information Process: Statutory Deadline for Responses is 20 Days CC: Corporate Communications PI: Performance Improvement IGT: Information Governance Team IGM: Information Governance Manager 14