1. JADE: The Freedom of Information Tracking System Cayman Islands Government Freedom of Information Unit / Computer Services Department

2. Agenda – Half-Day Course Registration and Welcome 8.30 – 9.00 Introductory Presentation 9:00 – 9:20 PowerPoint Demonstration 9.20 – 9:50 Morning Break 9.50 – 10.00 System Tips Presentation 10:00 – 10:15 Exercises 10:15 – 12:30

3. Presentation Agenda Overview What the FOI Law Says Tracking Requests Goals Request Life Cycle Reports Demonstration System Tips Common Issues Demonstration Hands-on Exercises

4. Overview Information Managers are FOI Law experts Prior IM Training recommended but not required JADE is a Tracking, Monitoring and Reporting System Supports processing of FOI requests JADE is NOT a Document Management System Using JADE is required by the FOI Regulations This is an introductory training session JADE is web (intranet) based. Inside / outside govt. Remote Access Tokens are required for outsider users Support for FOI procedures is available from the FOI Unit Support for technical issues is available from CSD Help Text is available in JADE throughout the process

5. 1. Log requests & appealsCapture information about applicants and third parties, FOI requests and Appeals 2. Support workflows and processes Assist public authorities to follow their own processes for handling FOI requests, including assigning of requests, notification alerts, tracking and approvals 3. Manage feesCalculate and record any fees to be charged in association with FOI requests 4. Manage enquiriesProvide methods of locating FOI requests and appeals that are held in the system and monitor performance using a number of different views 5. Manage correspondenceAutomatically generate correspondence with the applicant at key stages in the handling process, allow logging of other correspondence 6. Support appeals processes Assist public authorities to manage each stage of the appeal process including internal reviews, appeals to the Information Commissioner and judicial reviews 7. Central monitoringSupport the compilation of statistics and reporting across Government internally, and by the FOI Unit and Information Commissioner 8. ReportingSupport public authorities’ in-house performance monitoring using pre- defined reports, ad-hoc reports and the ability to export information, produce quarterly report required by the ICO 10. System administrationAllow an authorised user to define user permissions, correspondence templates and business rules; ability to interface with other systems Functional Requirements

6. Your Mandate by Law 24. The Information manager shall, in the monitoring and tracking computer system used by Government, keep a register of applications in electronic form which shall include but not be limited to- (a) an application number; (b) the name of the applicant; (c) the date of the application; (d) a summary of the applicant’s request; (e) the date the response was sent to the applicant; (f) a summary of the information provided, where information was provided; (g) where the application was refused, the specific clause relied upon with an explanation of reasons; and (h) whether an appeal was filed and the outcome of that appeal. - The FOI (General) Regulations, 2008

7. What Must be Tracked Receipt of request and applicant details Officer responsible for handing the request Expedited requests and 30-day extensions taken under s.7(4) of the FOI Law Clarification and ALL other correspondence with applicants, formal or informal Formal acknowledgement Transfers and split requests Communication within your PA to get records

8. What Must be Tracked (cont) What records were gathered and where they are Review of records – legal opinions, exemptions, redactions, public interest test considerations Relevant third parties and any consultation with them regarding release of their information Estimate of fees and payment of fees Formal decisions and outcomes – in detail! Formatting and provision of records Internal Reviews and appeals

9. Goals of JADE To know what requests have been received and when To easily find out what the status of each request is ◦ Very important with more than one FOI staff member To manage timelines and ensure excellent customer service To demonstrate your performance To avoid duplication of applicants and requests To quickly identify repeated or vexatious requests To audit the trail of actions taken ◦ Very important for internal reviews and appeals To ensure consistency in approach and response To provide accurate information to the ICO

10. Request Life Cycle - Summary Receipt Pre-Screen Locate Assemble Review Estimate Fees Fees Format Provide Publish Closed (Internal Review, Appeal, Judicial Review)

11. Request Life Cycle - Details Receipt Receive Request Clarify Expedite Acknowledge Pre-Screen In the Public Domain? Vexatious? Narrow the Scope Diversion of resources Third Party

12. Request Life Cycle (cont) Locate Do you have the record? Split the Request Transfer it to another Public Authority Close request – no records found Assemble Gather the records Run Reports Extend time

13. Request Life Cycle (cont) Review Refer to Legal Department Add a third party Exempt or Excluded? Decide to Grant (full/partial) or Deny Access Defer Access Estimate Fees (optional) Reproduction Time and Materials Fixed Fees Send Estimate For Fees

14. Request Life Cycle (cont) Fees Accept Payment or Grant Waiver Non-payment of fees letter (close) Format Convert raw records into format for Applicant Photocopy, Audio Media, Maps etc Provide Record Outcome in disclosure log Office Inspection (free) Manage Appointments Ship via post, courier etc.

15. Request Life Cycle (cont) Publish (optional) www.gov.ky Public Authority web site Conventional Publication Location of documents Record outcome Closed Publish JADE Reports (how did we do?) Wait for an Appeal Internal Review, Appeal, Judicial Review

16. Outcomes in JADE Possible outcomes: ◦ Refused  Vexatious, substantially similar, diversion of resources ◦ Public domain ◦ No records found/exist ◦ Excluded  Explicitly under s. 3(5) of the FOI Law  Another law takes precedence ◦ Deferred ◦ Granted in Full ◦ Granted in Part ◦ Exempt ◦ Withdrawn by applicant (explicitly or deemed) ◦ Administrative Closure – duplicate request, etc Check out the FOI Unit Outcomes Circular!!

17. JADE Reports These reports are only as accurate as the data you input in the system. JADE provides instant reporting for: ◦ New Requests ◦ Closed Requests ◦ Request outcome ◦ Disclosures ◦ Fees ◦ Point in Time ◦ Days to Complete ◦ Transfers ◦ ICO Report

18. LIVE DEMONSTRATION OF JADE

19. System Tips There are a few common sense points to note: Ensure all information provided is accurate. Update JADE in a timely fashion. Record EVERYTHING that happens. You are not the only one who will be viewing this information, it should be easily understood by anyone who has to access the file. Avoid duplicating applicants, third parties and requests. Always record an outcome (the correct outcome!). Fill in as much data as possible even if it isn’t mandatory. Specifically in “comments” sections, and when mistakes were made.

20. Common Issues With JADE Not updating/closing requests promptly ◦ Timelines will be incorrect if entered late ◦ Requests may be missed in the ICO quarterly reports ◦ Update JADE same day and if you have made the decision and delivered the records CLOSE Incorrect outcomes being entered ◦ Particularly for partial access, full access  Not all outcomes recorded (e.g. exemptions) Not backdating correspondence where necessary Entering more than the description (i.e. notes, salutations) in the request details

21. Common Issues With JADE (cont) Transfers ◦ Duplicates entered instead of receiving from queue ◦ Not recording an outcome for each public authority Not splitting requests correctly/at all Neglecting the correspondence history ◦ “Note to file” for internal observations Logging reviews/appeals as a new request ◦ Some are not logged at all… REMEMBER: Garbage in… Garbage out

22. JADE Release Notes As the system is updated you can tell what changes are made, including new features and bugs that have been fixed. Look under “Help”  “JADE Release Notes” to view each new version by release date.

23. Ask for Help and Report Problems The JADE Training module will always be available Advice from the FOI Unit ◦ The usual procedural advice related to FOI  We cannot give legal advice! ◦ Assistance with navigation Assistance from the Computer Services Department ◦ JADE unavailable ◦ Errors logging into JADE ◦ Errors in application ◦ Very basic assistance with navigation ◦ Re-opening closed requests

24. HANDS-ON EXERCISES You will not complete all exercises before you can leave. After you have finished #s 1 – 6 you can do the other exercises in any order that you wish. For #s 5 – 6 you need to have a partner. You have to complete exercise #10 before you can move on to #s 13 and 14.