FOI FOI CIRCULARSCIRCULARS

Natasha BoddenNatasha BoddenPolicy AnalystPolicy AnalystFOI UnitFOI UnitJune 2009June 2009

FOI CircularsFOI Circulars

JADE GuidanceJADE Guidance Delegation of ResponsibilitiesDelegation of Responsibilities Processing FOI RequestsProcessing FOI Requests Authentication of DocumentsAuthentication of Documents ClarificationClarification TransfersTransfers Confidentiality of Applicant’s InfoConfidentiality of Applicant’s Info Expedited Service Expedited Service

JADE GuidanceJADE Guidance

The system is required to be used by all public The system is required to be used by all public authorities in the Cayman Islands by s. 24 of the FOI authorities in the Cayman Islands by s. 24 of the FOI Regulations Regulations

All Information Managers are mandated to use the All Information Managers are mandated to use the monitoring and tracking system to keep a register monitoring and tracking system to keep a register of applications in electronic form of the following :-of applications in electronic form of the following :-– application numberapplication number– name of applicantname of applicant– date of applicationdate of application– summary of the requestsummary of the request– date of responsedate of response– summary of decisionsummary of decision– notification of appeal and decision on appeal notification of appeal and decision on appeal

JADE’s functions:JADE’s functions:

1. Log requests & appeals1. Log requests & appeals

2. Support workflows/processes2. Support workflows/processes

3. Manage fees3. Manage fees

4. Manage enquiries4. Manage enquiries

5. Manage correspondence5. Manage correspondence

6. Support appeals processes6. Support appeals processes

7. Central monitoring7. Central monitoring

8. Reporting8. Reporting

9. System administration9. System administration

Access to JADEAccess to JADE

All IM’s should now have access to the All IM’s should now have access to the JADE system. If you are having difficulty JADE system. If you are having difficulty in obtaining access please contact CSD in obtaining access please contact CSD

Training on JADE Training on JADE

If your public authority requires If your public authority requires additional training on JADE please additional training on JADE please contact CSD or the FOI Unit for more contact CSD or the FOI Unit for more information on coursesinformation on courses

Administrative Closure Administrative Closure

This has been implemented as two new This has been implemented as two new Outcomes:Outcomes:

1. Administrative Closure – Duplicate Request 1. Administrative Closure – Duplicate Request

If a request has been entered in twice by If a request has been entered in twice by accident, use this new outcome to record that accident, use this new outcome to record that this is a duplicate requestthis is a duplicate request

2. Administrative Closure – Withdrawn by 2. Administrative Closure – Withdrawn by Applicant Applicant

If a request has been withdrawn by the If a request has been withdrawn by the applicant you may close the request and applicant you may close the request and record this outcomerecord this outcome

JADE TipsJADE Tips Only enter each request ONCE Only enter each request ONCE There is no need to type in salutations or closings in “Request There is no need to type in salutations or closings in “Request

Description” (i.e. “best wishes, yours truly”, etc….)Description” (i.e. “best wishes, yours truly”, etc….) Try to capture exactly what was requested by the applicant Try to capture exactly what was requested by the applicant

but you may wish to summarize the requestbut you may wish to summarize the request Do not type your own comments in the request description Do not type your own comments in the request description Always fill in the assign officer fieldAlways fill in the assign officer field Use the spell check feature Use the spell check feature Ensure the subject matter is included in the “Request Ensure the subject matter is included in the “Request

Description” Description” Fill in the “keywords” when creating a request Fill in the “keywords” when creating a request If there is more than one outcome for a request make sure to If there is more than one outcome for a request make sure to

record this in JADE e.g. Partial Access & Exemption based on record this in JADE e.g. Partial Access & Exemption based on s.20.s.20.

Do not enter a request that has been transferred to you from Do not enter a request that has been transferred to you from another public authority as a separate request. Acknowledge another public authority as a separate request. Acknowledge the request and it will be transferred into your queue.the request and it will be transferred into your queue.

Only close requests on the basis that a request is withdrawn Only close requests on the basis that a request is withdrawn (Outcome) where this is specifically required by the applicant. (Outcome) where this is specifically required by the applicant. Otherwise clarify the request and use the same request Otherwise clarify the request and use the same request numbernumber

Delegation of IM Delegation of IM ResponsibilitiesResponsibilities Internal policies and procedures need to be Internal policies and procedures need to be

developed by each public authority to ensure developed by each public authority to ensure workloads are manageable, responsibilities assigned workloads are manageable, responsibilities assigned to IM’s under the FOI Regs are fulfilled and that FOI to IM’s under the FOI Regs are fulfilled and that FOI requests are processed smoothly during IM absencesrequests are processed smoothly during IM absences

FOI Unit has drafted a delegation instrument for IM’s FOI Unit has drafted a delegation instrument for IM’s to officially assign responsibilities to other staff to officially assign responsibilities to other staff membersmembers

With this, the named employee With this, the named employee can can do the prescribed do the prescribed tasks for the period during which the delegation is tasks for the period during which the delegation is valid.valid.

IM’s can use this document to allow certain staff IM’s can use this document to allow certain staff members to perform some tasks at all times and/or members to perform some tasks at all times and/or for one person to assume all IM functions only while for one person to assume all IM functions only while IM’s are absent IM’s are absent

Key PointsKey Points

An absent IM is An absent IM is NOTNOT an excuse! an excuse! It is very important that It is very important that everyone everyone in the in the

authority knows who will be handling the authority knows who will be handling the various FOI responsibilities while IM’s are various FOI responsibilities while IM’s are out of the officeout of the office

Update the FOI Unit and CINA any time Update the FOI Unit and CINA any time there is a change of staff and/or assigned there is a change of staff and/or assigned responsibilities at a public authorityresponsibilities at a public authority

Processing FOI RequestsProcessing FOI Requests

ACCEPT APPLICATION

SCOPEREQUEST

SEARCH & REVIEW

DECISION

DOCUMENTATION

Expedite

Clarify

Acknowledge

Identify

Document

Collate

Consult

Redact

Full access

Exempt

No records

Non-compliance

AuthenticationAuthentication

Authentication is offered only upon request by an FOI Authentication is offered only upon request by an FOI applicant, to certify the authenticity of records that applicant, to certify the authenticity of records that are requested to be disclosed or copies of records are requested to be disclosed or copies of records previously disclosedpreviously disclosed

Requests for authentication of records should be sent Requests for authentication of records should be sent in writing to the relevant IM for the public authority in in writing to the relevant IM for the public authority in questionquestion

The form of authentication is by a standard ink stamp The form of authentication is by a standard ink stamp that states “Certified a true copy of the original” with that states “Certified a true copy of the original” with a place for the date and signature to be written in by a place for the date and signature to be written in by the IM and a place for the authority to seal or stamp the IM and a place for the authority to seal or stamp the documents with the name of their public authoritythe documents with the name of their public authority

Ensure that your public authority has the required ink Ensure that your public authority has the required ink stamps on hand and that you know how to advise stamps on hand and that you know how to advise applicants on authentication if they request itapplicants on authentication if they request it

Clarifying RequestsClarifying Requests Seek to clarify a request if it can be read in more than one way, if Seek to clarify a request if it can be read in more than one way, if

it is so general you cannot determine relevant records, or if it is it is so general you cannot determine relevant records, or if it is manifestly unclearmanifestly unclear

An FOI request is not considered complete until you know exactly An FOI request is not considered complete until you know exactly what the applicant wantswhat the applicant wants

There is no duty to request clarification when you are able to There is no duty to request clarification when you are able to comply with the request without additional information or where comply with the request without additional information or where you can split the request and deal with the part which is clear you can split the request and deal with the part which is clear without further delaywithout further delay

Thirty calendar day response time does not begin until the Thirty calendar day response time does not begin until the request is completerequest is complete

When clarifying a request with an applicant you should When clarifying a request with an applicant you should describe describe the records that your public authority holds and offer suggestions the records that your public authority holds and offer suggestions for which records might be appropriate based on the original for which records might be appropriate based on the original applicationapplication. Do not simply tell the applicant that you have no idea . Do not simply tell the applicant that you have no idea what records they want; use your expertise and knowledge of the what records they want; use your expertise and knowledge of the records that your public authority holds that may be of interest to records that your public authority holds that may be of interest to the applicantthe applicant

If a request will become clearer by splitting it into more than one If a request will become clearer by splitting it into more than one part you can simply treat the application as multiple separate part you can simply treat the application as multiple separate requests.requests.

ClarifyClarify

If the request is so broad that it may be If the request is so broad that it may be considered a diversion of resources to considered a diversion of resources to respond, respond, you must first attempt to narrow you must first attempt to narrow the scope of the request before denying itthe scope of the request before denying it

Your timeline to respond to an FOI request Your timeline to respond to an FOI request freezes when you are seeking clarification freezes when you are seeking clarification from an applicant. However, from an applicant. However, this provision this provision should not be abused for trivial matters should not be abused for trivial matters with the intention of giving yourself more with the intention of giving yourself more time to make a decisiontime to make a decision

Extending timelines superfluously will Extending timelines superfluously will frustrate the applicant and may create frustrate the applicant and may create unnecessary appeals and/or complaintsunnecessary appeals and/or complaints

Transferring Transferring RequestsRequests Transfer a request where the record requested is held by Transfer a request where the record requested is held by

another pubic authority or if the subject matter of the another pubic authority or if the subject matter of the record is more closely related to the functions of the other record is more closely related to the functions of the other authorityauthority

Enter the request into JADE and begin processing the Enter the request into JADE and begin processing the requestrequest

search for records your authority may holdssearch for records your authority may holds If your authority holds no records relating to the request, If your authority holds no records relating to the request,

you will need to contact the IM of the authority which you you will need to contact the IM of the authority which you believe holds the recordsbelieve holds the records

After confirming with that IM that they hold the records, After confirming with that IM that they hold the records, you will need to transfer the request in JADE, send the you will need to transfer the request in JADE, send the physical file to that IM, advise the applicant you do not physical file to that IM, advise the applicant you do not hold any records in relation to their request and that their hold any records in relation to their request and that their request has been transferred to another authority. request has been transferred to another authority.

You need to advise the applicant of the new IM’s contact You need to advise the applicant of the new IM’s contact details.details.

Transferring Transferring

Do NOT transfer a request to another Do NOT transfer a request to another authority without:authority without:

First speaking with the IM of that First speaking with the IM of that authority, authority,

Confirm the IM’s authority holds the Confirm the IM’s authority holds the records requestedrecords requested

Advising the IM that the request is Advising the IM that the request is being transferred in JADEbeing transferred in JADE

Advising the applicant that their Advising the applicant that their request has been transferred and the request has been transferred and the IM contact detailsIM contact details

Requests sent to more than Requests sent to more than one authorityone authority

Use the IM Network to ascertain whether other IM’s Use the IM Network to ascertain whether other IM’s have received the same FOI request and are have received the same FOI request and are processing it. processing it.

If your authority has received an FOI request which If your authority has received an FOI request which was sent to multiple authorities, you do not need to was sent to multiple authorities, you do not need to transfer the request in JADE. transfer the request in JADE.

Make a decision on every application that is submitted Make a decision on every application that is submitted to your public authority, even if the decision is that to your public authority, even if the decision is that you hold no records related to the request. you hold no records related to the request.

Follow the normal timelines and remember to outline Follow the normal timelines and remember to outline the right of appeal in your response letter. You may the right of appeal in your response letter. You may include in your letter to the applicant the fact that the include in your letter to the applicant the fact that the other authorities will be responding separately.other authorities will be responding separately.

Each request is a valid request and has to be counted Each request is a valid request and has to be counted statistically in JADE as it can relate to different records statistically in JADE as it can relate to different records in the possession of each authority. in the possession of each authority.

Who “holds” the Who “holds” the records?records?

Two or more authorities may hold the same recordTwo or more authorities may hold the same record Chief Officers of the public authorities may need to consulted Chief Officers of the public authorities may need to consulted

if there is a dispute as to who should respond to the applicant. if there is a dispute as to who should respond to the applicant. Relevant factors to consider are:Relevant factors to consider are:

– who created the record?who created the record?– why the record was created?why the record was created?– what are the functions of each authority pertinent to the what are the functions of each authority pertinent to the

record?record? It is critical to remember that the applicant needs a response It is critical to remember that the applicant needs a response

and it is for the Government to sort out whose record it is i.e. and it is for the Government to sort out whose record it is i.e. the subject matter relates to whose functions. the subject matter relates to whose functions.

Not fair to the applicant if the Government cannot determine Not fair to the applicant if the Government cannot determine who “holds” the record. This will result in both Departments who “holds” the record. This will result in both Departments transferring the request to each other and no one wanting to transferring the request to each other and no one wanting to make the decisionmake the decision

The key factor is the subject matter of the records and the The key factor is the subject matter of the records and the functions of the public authority that holds them.functions of the public authority that holds them.

There should never be There should never be

““transfer ping-pong”!transfer ping-pong”!

Who has the Who has the records?records?

If you receive a request and do not know If you receive a request and do not know which authority holds the records, you which authority holds the records, you will need to use the IM Network to ask will need to use the IM Network to ask other IM’s if they hold such records other IM’s if they hold such records

If the request is one that all authorities If the request is one that all authorities probably hold, you will need to send the probably hold, you will need to send the request to all other government request to all other government authorities (i.e. via email) and indicate authorities (i.e. via email) and indicate this to the applicant in a letterthis to the applicant in a letter

Appeals to the ICO Appeals to the ICO due to transfersdue to transfers

The Information Commissioner has The Information Commissioner has issued under her policy and issued under her policy and procedures that she will accept and procedures that she will accept and appeal on the following grounds:appeal on the following grounds:– ““a public body has failed to a public body has failed to

properly……transfer the request in properly……transfer the request in time and/or appropriately transfer time and/or appropriately transfer the request”.the request”.

Confidentiality Confidentiality of Applicantsof Applicants

It is important that FOI requestors feel secure that It is important that FOI requestors feel secure that in the process of making an application under the in the process of making an application under the FOI Law their identities can remain confidential FOI Law their identities can remain confidential within a public authority’s internal FOI processwithin a public authority’s internal FOI process

s. 23 of the FOI Law includes an exemption for the s. 23 of the FOI Law includes an exemption for the unreasonable disclosure of personal information of unreasonable disclosure of personal information of any person, whether living or deadany person, whether living or dead

In addition some FOI applicants may provide their In addition some FOI applicants may provide their name, address and contact details (personal name, address and contact details (personal information) to public authorities on the implied information) to public authorities on the implied basis that it will be held in confidence basis that it will be held in confidence

Confidence = mutual understanding of Confidence = mutual understanding of confidentialityconfidentiality

GENERAL RULE:GENERAL RULE:

Personal information of Personal information of an applicant must be kept an applicant must be kept completely confidential!completely confidential!

Shhhhh!!!!