Policy Document Title: Version 4 drafted by: Version 4 approved by: Freedom of Information Policy Dr Margaret Guy, Non-Executive Director and Vice-Chair The Board Date Version 4 approved: 31 October 2019 Next review date: October 2019 Reviewer: Where to be published: Martyn Jewell, Board Business Manager Healthwatch Dorset Website and Intranet Contents Page 1. Introduction 2 2. Scope of the Policy 3 3. Responsibilities for Freedom of Information 3 4. Publication Scheme 4 5. Specific requests for information 4 6. Circumstances when a request for information can be refused 5 7. Fees for supplying information 6 8. Complaints and appeals 7 Page 1 of 7
1. Introduction Healthwatch Dorset CIC Freedom of Information Policy The Freedom of Information Act (FOIA) 2000 gives a right of access to information held by public authorities. It does this in two ways: Public authorities are obliged to publish certain information about their activities; and members of the public are entitled to request information from public authorities. The FOIA covers any recorded information held by public authorities, including printed documents, computer files, letters, emails, photographs, and sound or video recordings. The FOIA does not give people access to their own personal data (information about themselves) - if a member of the public wishes to see information that a public authority holds about them, they should make a subject access request under the Data Protection Act 2018. Healthwatch Dorset CIC is subject to the requirements of the FOIA in relation to its statutory activities 1. This obligation places two main responsibilities on Healthwatch Dorset CIC: To adopt and comply with a publication scheme which meets the requirements of the Information Commissioner s Office (ICO); and To respond to requests for information. Healthwatch Dorset CIC recognises the importance of the FOIA and, in order to enable organisational compliance with the Act, will endeavour to ensure that: The majority of information is made available through the Healthwatch Dorset Publication Scheme; Other information is readily available on request; and If the information requested is subject to an exemption, the public interest test will be implemented to determine whether the information can be released. We will ensure that we publicise our commitment to complying with the FOIA by: making this Policy available on our website; publicising our commitment to proactive publication and the details of what is available; and publicising the fact that people can make freedom of information requests to us and how they can make such requests. 1 Local Healthwatch organisations are included in the list of Public Authorities set out in Schedule 1 of the Freedom of Information Act (see: http://www.legislation.gov.uk/ukpga/2000/36/schedule/1) Page 2 of 7
In drafting this policy, we have drawn on the ICO s Guide to Freedom of Information 1 and the new Section 45 Code of Practice issued by the Government on 4 July 2018 2, as well as the latest version of Healthwatch England s Guidance for Local Healthwatch on Freedom of Information 3. 2. Scope of the Policy This Policy is intended to cover all records created in the course of undertaking the statutory business of Healthwatch Dorset CIC. This includes corporate records (which are also public records under the terms of the Public Records Acts 1958 and 1967); and electronic records and communications, including email messages. Some information relating to the statutory business of Healthwatch Dorset CIC is held, on our behalf, by our service delivery partners (Help & Care, Citizens Advice in Dorset and Dorset Race Equality Council) and this information will also usually be covered by the FOIA if we receive a freedom of information request. The Policy outlines good practice and identifies the responsibilities of Healthwatch Dorset staff in terms of Freedom of Information. 3. Responsibilities for Freedom of Information Ultimate responsibility for Freedom of Information rests with the Chair of Healthwatch Dorset CIC, although all staff members who record information, whether on paper or by electronic means, also have responsibilities under the Act and under this Policy. The Board Business Manager is the designated Freedom of Information Lead for Healthwatch Dorset CIC and has responsibility to: Ensure organisational compliance with the FOIA Maintain the currency of this Policy and the Publication Scheme Promote awareness of the FOIA throughout the organisation Ensure the general public has access to information about their rights under the FOIA Assist with investigations into complaints and appeals concerning requests for information under the FOIA. 1 https://ico.org.uk/for-organisations/guide-to-freedom-of-information/ 2 https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/744 071/CoP_FOI_Code_of_Practice_-_Minor_Amendments_20180926_.pdf 3 Freedom of Information Act Requests to Local Healthwatch: Information and Guidance, May 2015 - available on the Healthwatch England Hub. Page 3 of 7
4. Publication Scheme In order to comply with the FOIA, Healthwatch Dorset CIC must have a Publication Scheme that meets the requirements of the ICO 1 and sets out our commitment to make certain classes of information routinely available this includes: policies and procedures, minutes of meetings, annual reports and financial information. Healthwatch Dorset CIC has compiled a Publication Scheme, which sets out the following: The classes of information published, or intended to be published; The manner in which publication is made, or is intended to be made; and Whether the information is available free of charge or if payment is required. Healthwatch Dorset has made its Publication Scheme available on the Healthwatch Dorset website at: https://healthwatchdorset.co.uk. Hard copies of the Publication Scheme are also available on request. The Publication Scheme will be regularly reviewed and updated to ensure that the information contained within it is current. 5. Specific requests for information Anyone can make a Freedom of Information request they do not have to be UK citizens or resident in the UK. Freedom of Information requests can also be made by organisations, such as a newspaper, a campaign group, or a company. The FOIA confers two general rights on the public: A right to be informed whether a public authority holds certain information; and A right to obtain a copy of that information. A request for information not included within the Publication Scheme must be made in writing. This can either be in hard copy or electronically (including via email and social media). A charge may be made for the supply of the information (see below). Requests sent by email should be sent to the FOI Lead at: martyn.jewell@healthwatchdorset.co.uk. You can also write to the FOI Lead at: Freepost RTJR-RHUJ-XBLH Healthwatch Dorset 896 Christchurch Road BOURNEMOUTH BH7 6DL 1 https://ico.org.uk/for-organisations/guide-to-freedom-of-information/publication-scheme/ Page 4 of 7
Personal data will be handled in a manner that complies with the General Data Protection Regulation, as set out in our Data Protection Policy (available on our website at: https://healthwatchdorset.co.uk). The FOIA requires all written requests for information to be responded to within 20 working days. We will follow the guidance included the new Section 45 Code of Practice when responding to a request. Any person making a request is entitled to: Be informed in writing whether Healthwatch Dorset CIC holds information of the description specified in the request - this is known as the duty to confirm or deny ; and If that is the case (even if Healthwatch Dorset CIC is not the owner or source of that information), to have that information communicated to them. In addition, we will provide reasonable advice and assistance to those making a request for information this may include clarifying requests, suggesting how requests can be refined to come within the cost limit and explaining whether another public authority needs to be consulted about the request. Where possible, the information will be supplied in the format requested by the applicant. However, requests can also be met by providing either a copy of the original document(s) or a summary of the original document(s) - or even by allowing the applicant to visit the premises of Healthwatch Dorset CIC to read the document(s). 6. Circumstances when a request for information can be refused As a public authority, Healthwatch Dorset CIC is accountable to the public as to our statutory duties. It is therefore important that we respond to requests for information within 20 days and, where possible, release the information requested. However, there are some situations when a request can be refused. Healthwatch Dorset CIC can refuse an entire request under the following circumstances: It would cost too much or take too much staff time to deal with the request - currently, the cost limit for complying with a request, or a linked series of requests, from the same person or group is set at 450 for all public authorities (further guidance on how to estimate the costs of a FOIA request can be found on the ICO s website) The request is vexatious - decisions as to whether or not a request is vexatious will be taken by the Board, with the assistance of legal advice, where necessary; if we decide to refuse a request because we deem it to be vexatious, we will send the requester a written refusal notice The request repeats a previous request from the same person for information that has already been supplied to them, unless there has been a reasonable interval between the requests - reasonableness will be determined by the Board. Page 5 of 7
If we decide to refuse a request on cost grounds, we will send the requester a written refusal notice, stating that complying with their request would exceed the appropriate cost limit. This refusal notice will also state whether or not we hold the information, unless finding this out would in itself incur costs over the limit. If we decide to refuse a request because we deem it to be either vexatious or repeated, we will send the requester a written refusal notice stating that this is our decision. A record of the reasons for our decision will be kept so that we can justify it to the ICO if a complaint is made. In addition, the FOIA contains a number of exemptions that allow us to withhold information from a requester. In some cases, the FOIA will also allow us to refuse to confirm or deny whether we hold the information requested. There are two types of exemption: absolute and qualified. An absolute exemption means there is no right of access to the type of information requested under the FOIA. This has the effect of exempting Healthwatch Dorset CIC from confirming or denying that the information exists and/or disclosing the information. A qualified exemption means the information should not be released if it would be against the public interest to do so. A Public Interest Test must be applied to weigh up whether or not the public interest in holding back the information is greater than the public interest in disclosing it. All requests for information that are deemed by the Board Business Manager to be potentially exempted will be passed to the Chair of Healthwatch Dorset CIC for further consideration against the relevant sections of the Act. The Chair will then determine whether or not the information can be supplied. Further information about exemptions is also available on the ICO website and in the new Section 45 Code of Practice. Where a request for information is refused because an exemption from disclosure under the FOIA is engaged (including if only part of the information is released), a written refusal notice will be provided to the requestor. This will either state that Healthwatch Dorset CIC can neither confirm or deny that it holds the information; or it will confirm that the information is held by Healthwatch Dorset CIC, but state that Healthwatch Dorset CIC refuses to release it. The reasons for applying each exemption will be explained. The requestor will also be advised of their right of appeal. 7. Fees for supplying information The FOIA allows us to recover the costs of photocopying, printing and postage. However, we cannot normally charge for any other costs, such as those for staff time spent searching for information, unless other relevant legislation authorises this. However, if the cost of complying with a request for information would exceed the cost limit referred to in the legislation (currently set at 450 for all public authorities), we Page 6 of 7
can offer to supply the information and recover our full costs (including staff time) - rather than refusing the request. Further information about what we can charge is also available on the ICO website and in the new Section 45 Code of Practice. If we decide to charge a fee, we will send the requester a fees notice stating the amount to be paid, including how this has been calculated, as soon as possible within the 20 working day response period. The notice will inform requesters: that the 20 working day period for responding to the request will be paused until payment is received (it is reasonable to set a deadline of three months in which the fee should be paid); how to pay the fee; and their rights of complaint via internal review and to the Information Commissioner about the fee levied. 8. Complaints and appeals In the first instance, complaints about the Healthwatch Dorset CIC s Freedom of Information procedures and appeals against decisions made not to supply exempt information should be made to Healthwatch Dorset CIC s FOI Lead. Individuals who do not feel that their complaint/appeal has been dealt with properly may contact the Information Commissioner s Office directly by phoning the ICO s helpline on: 0303 123 1113. Page 7 of 7