FOI CIRCULARS Natasha Bodden Policy Analyst FOI Unit June 2009

FOI Circulars JADE Guidance JADE Guidance Delegation of Responsibilities Delegation of Responsibilities Processing FOI Requests Processing FOI Requests Authentication of Documents Authentication of Documents Clarification Clarification Transfers Transfers Confidentiality of Applicant’s Info Confidentiality of Applicant’s Info Expedited Service Expedited Service

JADE Guidance The system is required to be used by all public authorities in the Cayman Islands by s. 24 of the FOI Regulations The system is required to be used by all public authorities in the Cayman Islands by s. 24 of the FOI Regulations All Information Managers are mandated to use the monitoring and tracking system to keep a register of applications in electronic form of the following :- All Information Managers are mandated to use the monitoring and tracking system to keep a register of applications in electronic form of the following :- –application number –name of applicant –date of application –summary of the request –date of response –summary of decision –notification of appeal and decision on appeal

JADE’s functions: 1. Log requests & appeals 2. Support workflows/processes 3. Manage fees 4. Manage enquiries 5. Manage correspondence 6. Support appeals processes 7. Central monitoring 8. Reporting 9. System administration

Access to JADE All IM’s should now have access to the JADE system. If you are having difficulty in obtaining access please contact CSD All IM’s should now have access to the JADE system. If you are having difficulty in obtaining access please contact CSD Training on JADE If your public authority requires additional training on JADE please contact CSD or the FOI Unit for more information on courses If your public authority requires additional training on JADE please contact CSD or the FOI Unit for more information on courses

Administrative Closure This has been implemented as two new Outcomes: This has been implemented as two new Outcomes: 1. Administrative Closure – Duplicate Request If a request has been entered in twice by accident, use this new outcome to record that this is a duplicate request If a request has been entered in twice by accident, use this new outcome to record that this is a duplicate request 2. Administrative Closure – Withdrawn by Applicant If a request has been withdrawn by the applicant you may close the request and record this outcome If a request has been withdrawn by the applicant you may close the request and record this outcome

JADE Tips Only enter each request ONCE Only enter each request ONCE There is no need to type in salutations or closings in “Request Description” (i.e. “best wishes, yours truly”, etc….) There is no need to type in salutations or closings in “Request Description” (i.e. “best wishes, yours truly”, etc….) Try to capture exactly what was requested by the applicant but you may wish to summarize the request Try to capture exactly what was requested by the applicant but 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 field Always 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 Description” Ensure the subject matter is included in the “Request 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 record this in JADE e.g. Partial Access & Exemption based on s.20. If there is more than one outcome for a request make sure to record this in JADE e.g. Partial Access & Exemption based on s.20. Do not enter a request that has been transferred to you from another public authority as a separate request. Acknowledge the request and it will be transferred into your queue. Do not enter a request that has been transferred to you from another public authority as a separate request. Acknowledge the request and it will be transferred into your queue. Only close requests on the basis that a request is withdrawn (Outcome) where this is specifically required by the applicant. Otherwise clarify the request and use the same request number Only close requests on the basis that a request is withdrawn (Outcome) where this is specifically required by the applicant. Otherwise clarify the request and use the same request number

Delegation of IM Responsibilities Internal policies and procedures need to be developed by each public authority to ensure workloads are manageable, responsibilities assigned to IM’s under the FOI Regs are fulfilled and that FOI requests are processed smoothly during IM absences Internal policies and procedures need to be developed by each public authority to ensure workloads are manageable, responsibilities assigned to IM’s under the FOI Regs are fulfilled and that FOI requests are processed smoothly during IM absences FOI Unit has drafted a delegation instrument for IM’s to officially assign responsibilities to other staff members FOI Unit has drafted a delegation instrument for IM’s to officially assign responsibilities to other staff members With this, the named employee can do the prescribed tasks for the period during which the delegation is valid. With this, the named employee can do the prescribed tasks for the period during which the delegation is valid. IM’s can use this document to allow certain staff members to perform some tasks at all times and/or for one person to assume all IM functions only while IM’s are absent IM’s can use this document to allow certain staff members to perform some tasks at all times and/or for one person to assume all IM functions only while IM’s are absent

Key Points An absent IM is NOT an excuse! An absent IM is NOT an excuse! It is very important that everyone in the authority knows who will be handling the various FOI responsibilities while IM’s are out of the office It is very important that everyone in the authority knows who will be handling the various FOI responsibilities while IM’s are out of the office Update the FOI Unit and CINA any time there is a change of staff and/or assigned responsibilities at a public authority Update the FOI Unit and CINA any time there is a change of staff and/or assigned responsibilities at a public authority

Processing FOI Requests ACCEPT APPLICATION SCOPE REQUEST SEARCH & REVIEW DECISION DOCUMENTATION Expedite Clarify Acknowledge Identify Document Collate Consult Redact Full access Exempt No records Non-compliance

Authentication Authentication is offered only upon request by an FOI applicant, to certify the authenticity of records that are requested to be disclosed or copies of records previously disclosed Authentication is offered only upon request by an FOI applicant, to certify the authenticity of records that are requested to be disclosed or copies of records previously disclosed Requests for authentication of records should be sent in writing to the relevant IM for the public authority in question Requests for authentication of records should be sent in writing to the relevant IM for the public authority in question The form of authentication is by a standard ink stamp that states “Certified a true copy of the original” with 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 documents with the name of their public authority The form of authentication is by a standard ink stamp that states “Certified a true copy of the original” with 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 documents with the name of their public authority Ensure that your public authority has the required ink stamps on hand and that you know how to advise applicants on authentication if they request it Ensure that your public authority has the required ink stamps on hand and that you know how to advise applicants on authentication if they request it

Clarifying Requests 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 manifestly unclear 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 manifestly unclear An FOI request is not considered complete until you know exactly what the applicant wants An FOI request is not considered complete until you know exactly what the applicant wants There is no duty to request clarification when you are able to comply with the request without additional information or where you can split the request and deal with the part which is clear without further delay There is no duty to request clarification when you are able to comply with the request without additional information or where you can split the request and deal with the part which is clear without further delay Thirty calendar day response time does not begin until the request is complete Thirty calendar day response time does not begin until the request is complete When clarifying a request with an applicant you should describe the records that your public authority holds and offer suggestions for which records might be appropriate based on the original application. Do not simply tell the applicant that you have no idea what records they want; use your expertise and knowledge of the records that your public authority holds that may be of interest to the applicant When clarifying a request with an applicant you should describe the records that your public authority holds and offer suggestions for which records might be appropriate based on the original application. Do not simply tell the applicant that you have no idea what records they want; use your expertise and knowledge of the records that your public authority holds that may be of interest to the applicant If a request will become clearer by splitting it into more than one part you can simply treat the application as multiple separate requests. If a request will become clearer by splitting it into more than one part you can simply treat the application as multiple separate requests.

Clarify If the request is so broad that it may be considered a diversion of resources to respond, you must first attempt to narrow the scope of the request before denying it If the request is so broad that it may be considered a diversion of resources to respond, you must first attempt to narrow the scope of the request before denying it Your timeline to respond to an FOI request freezes when you are seeking clarification from an applicant. However, this provision should not be abused for trivial matters with the intention of giving yourself more time to make a decision Your timeline to respond to an FOI request freezes when you are seeking clarification from an applicant. However, this provision should not be abused for trivial matters with the intention of giving yourself more time to make a decision Extending timelines superfluously will frustrate the applicant and may create unnecessary appeals and/or complaints Extending timelines superfluously will frustrate the applicant and may create unnecessary appeals and/or complaints

Transferring Requests Transfer a request where the record requested is held by another pubic authority or if the subject matter of the record is more closely related to the functions of the other authority Transfer a request where the record requested is held by another pubic authority or if the subject matter of the record is more closely related to the functions of the other authority Enter the request into JADE and begin processing the request Enter the request into JADE and begin processing the request search for records your authority may holds search for records your authority may holds If your authority holds no records relating to the request, you will need to contact the IM of the authority which you believe holds the records If your authority holds no records relating to the request, you will need to contact the IM of the authority which you believe holds the records After confirming with that IM that they hold the records, you will need to transfer the request in JADE, send the physical file to that IM, advise the applicant you do not hold any records in relation to their request and that their request has been transferred to another authority. After confirming with that IM that they hold the records, you will need to transfer the request in JADE, send the physical file to that IM, advise the applicant you do not hold any records in relation to their request and that their request has been transferred to another authority. You need to advise the applicant of the new IM’s contact details. You need to advise the applicant of the new IM’s contact details.

Transferring Do NOT transfer a request to another authority without: First speaking with the IM of that authority, First speaking with the IM of that authority, Confirm the IM’s authority holds the records requested Confirm the IM’s authority holds the records requested Advising the IM that the request is being transferred in JADE Advising the IM that the request is being transferred in JADE Advising the applicant that their request has been transferred and the IM contact details Advising the applicant that their request has been transferred and the IM contact details

Requests sent to more than one authority Use the IM Network to ascertain whether other IM’s have received the same FOI request and are processing it. Use the IM Network to ascertain whether other IM’s have received the same FOI request and are processing it. If your authority has received an FOI request which was sent to multiple authorities, you do not need to transfer the request in JADE. If your authority has received an FOI request which was sent to multiple authorities, you do not need to transfer the request in JADE. Make a decision on every application that is submitted to your public authority, even if the decision is that you hold no records related to the request. Make a decision on every application that is submitted to your public authority, even if the decision is that you hold no records related to the request. Follow the normal timelines and remember to outline the right of appeal in your response letter. You may include in your letter to the applicant the fact that the other authorities will be responding separately. Follow the normal timelines and remember to outline the right of appeal in your response letter. You may include in your letter to the applicant the fact that the other authorities will be responding separately. Each request is a valid request and has to be counted statistically in JADE as it can relate to different records in the possession of each authority. Each request is a valid request and has to be counted statistically in JADE as it can relate to different records in the possession of each authority.

Who “holds” the records? Two or more authorities may hold the same record Two or more authorities may hold the same record Chief Officers of the public authorities may need to consulted if there is a dispute as to who should respond to the applicant. Chief Officers of the public authorities may need to consulted 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? –why the record was created? –what are the functions of each authority pertinent to the record? 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. the subject matter relates to whose functions. 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. the subject matter relates to whose functions. Not fair to the applicant if the Government cannot determine who “holds” the record. This will result in both Departments transferring the request to each other and no one wanting to make the decision Not fair to the applicant if the Government cannot determine who “holds” the record. This will result in both Departments transferring the request to each other and no one wanting to make the decision The key factor is the subject matter of the records and the functions of the public authority that holds them. The key factor is the subject matter of the records and the functions of the public authority that holds them.

There should never be “transfer ping-pong”!

Who has the records? If you receive a request and do not know which authority holds the records, you will need to use the IM Network to ask other IM’s if they hold such records If you receive a request and do not know which authority holds the records, you will need to use the IM Network to ask other IM’s if they hold such records If the request is one that all authorities probably hold, you will need to send the request to all other government authorities (i.e. via ) and indicate this to the applicant in a letter If the request is one that all authorities probably hold, you will need to send the request to all other government authorities (i.e. via ) and indicate this to the applicant in a letter

Appeals to the ICO due to transfers The Information Commissioner has issued under her policy and procedures that she will accept and appeal on the following grounds: The Information Commissioner has issued under her policy and procedures that she will accept and appeal on the following grounds: –“a public body has failed to properly……transfer the request in time and/or appropriately transfer the request”.

Confidentiality of Applicants It is important that FOI requestors feel secure that in the process of making an application under the FOI Law their identities can remain confidential within a public authority’s internal FOI process It is important that FOI requestors feel secure that in the process of making an application under the FOI Law their identities can remain confidential within a public authority’s internal FOI process s. 23 of the FOI Law includes an exemption for the unreasonable disclosure of personal information of any person, whether living or dead s. 23 of the FOI Law includes an exemption for the unreasonable disclosure of personal information of any person, whether living or dead In addition some FOI applicants may provide their name, address and contact details (personal information) to public authorities on the implied basis that it will be held in confidence In addition some FOI applicants may provide their name, address and contact details (personal information) to public authorities on the implied basis that it will be held in confidence Confidence = mutual understanding of confidentiality Confidence = mutual understanding of confidentiality

GENERAL RULE: Personal information of an applicant must be kept completely confidential! Shhhhh!!!!