Policy Number: 8.3 Version number: 01 Date of issue: Date Archived: Reason for policy: (Redraft/new) New policy to ensure compliance with current legislation Authorised by: On Behalf of Management (Signature) Agreed by: On Behalf of UNISON (Signature) Agreed by: On Behalf of Unite (Signature) N.B. The original copy of this policy containing signatures is held in the Human Resources office.
CONTENTS 1. Introduction... 3 2. Policy Purpose... 3 3. Related Policies & Employment Legislation... 3 4. General Principles... 3 4.1. Scope... 3 4.2. Freedom of Information... 4 4.3. Environmental Information... 5 5.... 6 5.1. Legislative Context... 6 5.2. Roles and Responsibilities... 6 5.3. Training... 7 5.4. Policy Compliance and Audit... 7 6. Equality Impact Assessment... 7 7. Changes to Policy... 7 Page 2 of 10
1. Introduction Freedom of Information/Environmental Information is an asset. Like any other business asset it has a value and must be protected. Systems that enable us to store, process and communicate this information must also be protected in order to safeguard information assets. Information systems is the collective term for our information and the systems we use to store, process and communicate it. The practice of protecting our information systems is known as information security. This policy is part of a set of information governance policies and procedures that supports the delivery of the CA s functions and it should be read in conjunction with these associated policies. This policy sets out the CA s approach to dealing with information requests it receives under the Freedom of Information Act 2000 ( the Act ), and under the Environmental Information Regulations 2004 ( the Regulations ). It also sets out responsibilities in relation to the positive duty under the Regulations to make certain types of environmental information available to the public electronically, and to organise such information so that it can be actively and systematically disseminated to the public. 2. Policy Purpose To make it clear how the CA responds to its duties under the Act and the Regulations in relation to dealing with information requests, and in relation to the positive duty under the Regulations to disseminate certain types of environmental information. 3. Related Policies & Employment Legislation Data Protection Policy Information Governance Policy Information Sharing Policy Records Management, Retention and Disposal Policy Subject Access Request Policy We remain up to date and compliant with all current employment legislation. 4. General Principles 4.1. Scope This policy applies to everyone who has access to the CA s information, information assets or IT equipment. These people are referred to users in this policy. This may include, but is not limited to employees of the CA, temporary workers, secondees, partners and contractual third parties. The CA is the accountable body for Leeds City Region Enterprise Partnership (LEP) which is also covered by this policy. All those who use or have access to the CA information must understand and adopt this policy and are responsible for ensuring the security of the CA s information systems and the information that they use or handle. The policy relates to information requests the CA receives under the Freedom of Information Act 2000, and under the Environmental Information Regulations 2004. It also Page 3 of 10
relates to the CA s positive duties under the Regulations, and to the CA s duties under Directive 2003/4/EC. 4.2. Freedom of Information 4.2.1. The CA believes that open government is best. The CA believes that accountability and transparency help to build public trust, and then bring real benefits to citizens and businesses in its area. 4.2.2. The CA will continue to review and develop its publication scheme, so that an increasing amount of information is made accessible in this way, rather than in response to individual information requests. 4.2.3. In applying the public interest test, the CA will give significant weight to the promotion of transparency and accountability as assumptions built into the Freedom of Information Act. 4.2.4. The CA will also give significant weight to the promotion of public debate, better public understanding of the CA decisions, and the informed and meaningful participation by the public in the democratic process. 4.2.5. The CA acknowledges there is a default setting in favour of disclosure, and will adopt this as its starting point for every information request. 4.2.6. The CA acknowledges that in applying the public interest test it must take into account all the circumstances of the case, and the CA will not seek to apply blanket exemptions. 4.2.7. The CA will consider information requests in a way which is applicant blind and motive blind, unless exceptionally it considers that a request is vexatious. 4.2.8. The CA will seek to limit the use of confidentiality clauses by its contractors where appropriate. 4.2.9. The CA will have proper regard to the privacy and integrity of individuals, and where they conflict, the CA will seek to strike an appropriate balance between the values of transparency and accountability on the one hand, and the individual s right to privacy on the other. 4.2.10. In applying the public interest test, the CA will generally consult with relevant third parties, and will consider any representations made by third parties. 4.2.11. If the CA estimates that the cost of retrieving, locating and collating information will exceed 450, it will ask the applicant to reduce the scope of their request, and will strive always to provide some information which is relevant to a request. 4.2.12. The CA will provide general information to the public on their rights under the Act, and how these rights can be exercised. 4.2.13. The CA will provide advice to the public on how to request an internal review if anyone is unhappy with the response they have received. The CA will also make clear how to complain to the Information Commissioner s Office (ICO). Should the CA receive a request for an internal review, this will be completed (in most cases) Page 4 of 10
within 20 working days and opinion will be sought from a member of staff who did not deal with the original request and where possible, of a higher seniority. 4.2.14. The CA will not accept requests transferred to the CA by a third-party organisation. The CA will advise the third-party organisation to issue a response directing the requester to submit a separate request to the CA. This is to ensure the CA has the full statutory timescale in which to respond. 4.3. Environmental Information 4.3.1. The CA will interpret broadly the definition of environmental information in the Regulations. 4.3.2. The CA will progressively make certain types of environmental information available to the public by electronic means which are easily accessible, and will take reasonable steps to organise such information relevant to its functions with a view to the active and systematic dissemination to the public of such information, as required by the Regulations. The specified types of environmental information are set out in Appendix 1. 4.3.3. The CA will give a strict interpretation to the exceptions to the duty to disclose environmental information. 4.3.4. The CA will accept requests for environmental information whether or not they are in writing. 4.3.5. The CA will apply a presumption in favour of disclosure, subject to an exception in the case of any environmental information which is held by the CA subject to a legal duty of confidentiality. 4.3.6. In considering the public interest in disclosure, the CA will give significant weight to relevant considerations derived from the Directive, in particular a greater awareness of environmental matters, free exchange of views, and more effective participation by the public in environmental decision-making. Where environmental information is held by the CA subject to a legal duty of confidentiality, the CA will take into account the strong public interest in the maintenance of valuable, commercially confidential information. 4.3.7. Where the CA is permitted to charge for making information available, such charges will not exceed a reasonable amount. 4.3.8. The CA acknowledges that in applying the public interest test it must take into account all the circumstances of the case, and the CA will not seek to apply blanket exceptions. 4.3.9. If the CA considers a request is formulated in too general a manner, it will ask the applicant to provide more particulars, and will assist the applicant in providing those particulars, in accordance with the Regulations. 4.3.10. The CA will have proper regard to the privacy and integrity of individuals, and where they conflict, The CA will seek to strike an appropriate balance between the objectives of the Regulations/Directive on the one hand, and the individual s right to privacy on the other. Page 5 of 10
4.3.11. In applying the public interest test, The CA will generally consult with relevant third parties, and will consider any representations made by third parties. 4.3.12. The CA will provide general information to the public about their rights under the Regulations, and how these rights can be exercised. 4.3.13. The CA will provide advice to the public on how to request an internal review if anyone is unhappy with the response they have received. The CA will also make clear how to complain to the Information Commissioner s Office (ICO). 4.3.14. The CA will not accept requests transferred to the CA by a third-party organisation. The CA will advise the third-party organisation to issue a response directing the requester to submit a separate request to the CA. This is to ensure the CA has the full statutory timescale in which to respond. 5. 5.1. Legislative Context Information governance sits within a legislative background and a number of Acts of Parliament and international standards influence this policy. Users of the CA information systems must be familiar with the relevant legislation relating to Information Governance and Data Protection, and must be aware of their responsibilities under this legislation. It should be noted that in some circumstances, instances of misuse may constitute a criminal offence. 5.2. Roles and Responsibilities 5.2.1. It is important that all users (as defined in the scope of this policy) understand what is required of them and comply with this policy. A process map detailing the steps the organisation and users need to follow in order to satisfactorily comply with requests is set out in Appendix 2. 5.2.2. In the event that a member of staff gets a request for information that is not a business as usual request, and they think the rules in the Act or the Regulations might apply, then they must send the request to freedom.info@westyorks-the CA.gov.uk, or post it to Legal and Democratic Services, Wellington House, Wellington Street, Leeds, LS1 2DE straight away. The request will then be logged into the corporate requests database, and sent to the point of contact for the relevant service, to deal with. 5.2.3. All members of staff must assist the point of contact for their service by providing them with all relevant information in a timely manner, so as to enable the CA to respond to information requests as soon as possible, and no later than twenty working days after receipt of such requests. 5.2.4. A member of staff who holds information which is subject to an information request made under the Act or the Regulations, must not alter, deface, block, erase, destroy or conceal any such information with the intention of preventing its disclosure. Page 6 of 10
5.3. Training 5.3.1. Appropriate training will be made available for existing staff that have responsibility for information governance duties. 5.3.2. All staff will be made aware of their obligations for information governance through effective communication programmes. 5.3.3. Each new employee will be made aware of their obligations for information governance during an induction-training programme. 5.3.4. Training requirements will be reviewed on a regular basis to take account of the needs of the individual, and to ensure that staff are adequately trained. 5.4. Policy Compliance and Audit 5.4.1. Failure to observe the standards set out in this policy may be regarded as serious and any breach may render an employee liable to action under the CA s Disciplinary procedure, which may include dismissal. 5.4.2. Non-compliance with this policy could have a significant effect on the efficient operation of the CA and may result in financial loss and an inability to provide necessary services to our customers. The CA will undertake audits as required to monitor compliance with its information governance policies. 5.4.3. Any user who does not understand the implications of this policy or how it may apply to them, should seek advice from their immediate line manager and/or the Legal and Democratic Services Team. 6. Equality Impact Assessment In the creation of this policy, consideration has been given to any possible adverse equality impact for the following groups: disability; gender; gender reassignment; marital status (including civil partnerships); sexual orientation; race; religion or beliefs; age; pregnancy and maternity. The policy is considered to have little or no adverse equality impact. 7. Changes to Policy The CA reserves the right to amend the details of this policy as required following consultation with recognised trade unions and other relevant parties. This policy will be monitored and reviewed on an annual basis, to ensure that it meets the needs of the CA and ensure compliance with relevant legislation. A written request can be made to review this policy at any time, by any of the signatories, giving appropriate reasons for requesting the review. Appendix 1 Page 7 of 10
Dissemination of Environmental Information - type of information Items in Article 7.2 of the Directive, (a) Texts of.regional or local legislation on the environment, or relating to it. (b) Policies, plans and programmes relating to the environment. (c) Progress reports on the implementation of the items referred to in (a) and (b) when prepared or held in electronic form by public authorities. (d) Where appropriate regional or local reports on the state of the environment at regular intervals not exceeding four years, including information on the quality of, and pressures on, the environment. (e) Data or summaries of data derived from the monitoring of activities affecting, or likely to affect, the environment. (f) Authorisations with a significant impact on the environment and environmental agreements or a reference to the place where such information can be requested or found. (g) Environmental impact studies and risk assessments concerning the environmental elements or a reference to the place where the information can be requested or found. And facts and analyses of facts which the CA considers relevant and important in framing major environmental policy proposals Page 8 of 10
FOI/EIR REQUEST HANDLING PROCESS Appendix 2 START FOI/EIR REQUEST RECEIVED N.B. ALL FOI/EIR REQUESTS SHOULD BE SENT TO freedom.info@westyorks-the CA.gov.uk (including requests sent to the LEP) DAY 0-1 REQUEST TO BE LOGGED BY LEGAL & DEMOCRATIC SERVICES AND ACKNOWLEDGEMENT/REQUEST FOR CLARIFICATION SENT TO REQUESTER DAY 2 COMMISSIONING E-MAIL SENT TO RELEVANT TEAM S POINT OF CONTACT SEND TO COMMS IF NECESSARY (TO BE JUDGED ON A CASE-BY- THE CASE BASIS) DAY 2-12 TEAM TO INVESTIGATE & COMPILE RESPONSE CONTRIBUTION TEAM TO CONTACT I.G. OFFICER FOR ADVICE ON POTENTIAL EXEMPTIONS (IF APPLICABLE) BY DAY 5** DEMOCRATIC SERVICES TO CHASE POINT OF CONTACT BY DAY 10 IF NO RESPONSE RECEIVED BY DAY 12 TEAM TO RETURN RESPONSE CONTRIBUTION ALONG WITH ANY DOCUMENTATION (UN-EDITED) TO DEMOCRATIC SERVICES & I.G OFFICER ALONG WITH EVIDENCE OF SIGN-OFF FROM THE HEAD OF SERVICE DAY 12 ONWARDS I.G OFFICER TO DRAFT RESPONSE TO REQUESTER AND SEND TO DEMOCRATIC SERVICES ASAP FOR ISSUE **SHOULD THE TEAM WISH TO CONSIDER A SECTION 36 EXEMPTION TO A FOI REQUEST, PLEASE REFER TO THE PROCESS OVERLEAF**
SECTION 36 PROCESS DAY 2-5 DAY 5-12 DAY 12-15 DAY 15-20 TEAM TO SEEK ADVICE FROM I.G. OFFICER ON POTENTIAL S.36 EXEMPTION I.G. OFFICER TO PROVIDE BUSINESS THE CASE TEMPLATE FOR TEAM TO COMPLETE TEAM TO PROVIDE I.G. OFFICER WITH: COMPLETED BUSINESS CASE SIGNED OFF BY DIRECTOR UN-EDITED INFORMATION WITH NOTIFICATION OF SPECIFIC TEXT TO BE REDACTED I.G. OFFICER TO PROVIDE BUSINESS CASE & DRAFT RESPONSE TO QUALIFIED PERSON (Q.P) FOR APPROVAL CONSIDERATION Q.P TO REVIEW AND MAKE THEIR DECISION TO APPROVE/REJECT SHOULD THE TEAM WISH TO EXTEND THE DEADLINE TO ALLOW MORE TIME TO CONSIDER THE PUBLIC INTEREST TEST, THE BELOW WILL APPLY DAY 15-25 TEAM TO ASSESS P.I.T ARGUMENTS AND PROVIDE I.G. OFFICER WITH REVISED BUSINESS CASE SIGNED OFF BY DIRECTOR DAY 2-10 TEAM TO PROVIDE I.G. OFFICER WITH: E-MAIL ADVISING WHY DEADLINE NEEDS TO BE EXTENDED UN-EDITED INFORMATION WITH NOTIFICATION OF SPECIFIC TEXT BEING CONSIDERED DAY 12-15 I.G OFFICER TO APPROVE P.I.T EXTENSION AND ISSUE NOTIFICATION TO REQUESTER. DAY 25-30 I.G. OFFICER TO PROVIDE REVISED BUSINESS CASE & DRAFT RESPONSE TO QUALIFIED PERSON (Q.P) FOR APPROVAL CONSIDERATION DAY 30-40 Q.P TO REVIEW AND MAKE THEIR DECISION TO APPROVE/REJECT