FOI

1
FOI Records Management at DCU Update 2007
www.dcu.ie/foi
Joe Maxwell, Freedom of Information Officer
2
FOI Topics for Today

• FOI The basics
• How it works at DCU
• Requests relating to Academic Processes
• Records Management Responsibilities
• Personal Info , Confidential Info Commercially
  Sensitive Info

3
FOI The Basics

• 3 Rights under the Acts
• Right of Access (with limited exemptions)
• Right of Amendment if incorrect or misleading
• Right to seek reasons for Decisions S.18
• Publish Structure Functions S.15
• Publish Policies Procedures S.16

4
Section 18 Access to Reasons

• To enable persons affected by an act of a body,
  to obtain reasons for the decision and any
  findings on any material issues of fact.
• Implication Record the rationale for the
  decision as well as the decision itself.

5
How FOI works at DCU

• Request received by FOI Officer (but may be
  received by Head of Unit in first instance)
• Decision to release/withhold made by Head. Heads
  are the designated decision makers.
• Internal Review by Secretary/Deputy President
• External Review by Information Commissioner

6
FOI Officer Role

• To assist the public in making FOI requests.
• To assist decision makers in replying to FOI
  requests
• Contact me at ext. 7070
• Further Info www.dcu.ie/foi

7
FOI Request Outcomes at DCU 2001-2007

• 64 granted in full
• 13.4 partially granted
• 12.3 refused
• 10 withdrawn/handled outside FOI
• 4 requests for internal review
• 3 referrals to the Information commissioner

8
FOI Request OutcomesUniversity Sector 01-07

• 50.5 granted in full
• 23.2 partially granted
• 16.1 Refused
• 10.2 withdrawn/handled outside FOI
• 17 of requests made by staff at DCU
• 31 of requests made by staff in sector.

9
Requests relating to Academic Processes

• Journalists
• Final year exam results by grade.
• Which schools our students come from.
• Drop out rates / Pass/fail rates
• Drop in academic standards
• Reports on the use of Drugs/alcohol in academic
  life!

10
Student Requests

• Requests for exam scripts have been minimised by
  viewing days with feedback.
• Exam scripts should show evidence of having been
  read e.g. initials, tick, etc.
• Trend towards looking for reasons for
  assessment/assignment/thesis marks.

11
Student Requests Contd

• External Examiners Reports
• Should explain why changes to marks awarded have
  been made.
• Example reduction by 10 across the board
  subject to no one receiving less than 40.

12
Student Requests Contd

• Fairness of Assessment
• Requested marking scheme and marks of other
  students.
• Received marking scheme, mean and standard
  deviation of class marks.
• Requests relating to assignments or continuous
  assessment.

13
Postgraduate Processes

• Direct Entry Criteria reasons for refusal.
• Ensure reasons are adequately recorded when
  interviewing candidates.
• Reasons why student was not allowed progress from
  MSc. to Ph.D.
• Reasons for mark awarded for dissertation
• Who marked the dissertation?

14
Other Academic Related Requests

• Course Notes vs. IP rights
• Limited access granted through Library.
• Records relating to investment in undergraduate
  Labs!

15
Procedural Fairness

• FOI is NOT an alternative appeals mechanism.
• It simply allows people to access RECORDS
• However
• FOI provides a route for people to scrutinise
  how we apply our own procedures.
• Stick to the Written Procedures

16
Records Management

• Heads of School Units and Faculty
  Administrators are responsible for Records
  Management. (DCU Records Mgt Policy 2002).
• RM Working Group updated Record Retention
  Schedules Jan-May 07.
• Office of Primary Responsibility for record
  classes, HR, Finance, Presidents Office

17
Record Keeping Issues

• Program Documentation accreditation
• Document sets must move to the new programme
  board chair.
• Post Grad Supervision
• Formal Documentation
• Notes of meetings

18
Records Management Guidelines contd

• Maintain a listing of how records are archived
  throughout DCU.
• Keep Records of Document Destruction
• Keep Records of discussions between FOI Officer
  and Heads

19
If a record cannot be found

• We are required to document
• Where we searched
• How the search was carried out
• Who carried out the search
• How long they spent searching
• Where else they might have looked
• The above will be released to the requester.

20
What FOI Requests are refused?

• Records do not exist or cannot be found (section
  10 1 a)
• Fee or deposit has not been paid
• 15 up front fee per request.
• 75 fee for internal review.
• Record is not covered by the Act
• Record (or part of it) is exempt

21
What information is not released ?

• Information about other people (personal
  information) or businesses (unless in public
  interest)
• Information received in confidence
• Investigations and audits (including the exam
  process)
• Legal privilege

22
s.28 Personal Information

• A head shall refuse to grant a request if access
  would involve the disclosure of personal
  information (including information relating to a
  deceased individual) unless it is in the public
  interest to do so.

23
Definition of Personal Information

• Would ordinarily be known only to the individual
  or their family or friends, or
• Is held by a public body on the understanding
  that it would be treated as confidential
• Includes Educational, medical, psychiatric
  history, Competence or evaluation of performance
  of member of staff

24
Personal Information Excludes

• If a youre a staff member of a public body then
• Your name
• Your role
• Your salary conditions
• Anything written by you in the course of your
  duties
• ARE NOT PERSONAL INFORMATION and will therefore
  be released to the requester unless another
  exemption applies.

25
s.26(1)(a) Confidentiality

• For information to be deemed confidential it must
  satisfy 4 conditions under FOI
• Information given in confidence AND
• On the understanding it would be treated as
  confidential AND
• Disclosure likely to prejudice giving of further
  similar information AND
• It is important to public body to continue to
  receive further similar information
• UNLESS disclosure would be in the public interest

26
s.26(1)(b) Breach of Confidence

• Information has necessary quality of confidence
• Information communicated in circumstances
  importing obligation of confidence
• Unauthorised use of information would be to the
  detriment of the confider

27
s.27 Commercially sensitive information

• A record is exempt if it contains
• trade secrets
• financial, commercial, scientific or technical
  information - could lead to material loss or
  gain or prejudice competitive position of person
• information whose disclosure could prejudice
  negotiations
• UNLESS disclosure is in the public interest

28
Trade Secret

• Extent to which is known outside the business
• Extent to which is known by employees
• Extent of measures taken by proprietor to guard
  secrecy of information
• Value of information to proprietor
• Amount of effort / money spent developing it
• Ease with which information could be acquired or
  duplicated by others

29
Protecting DCUs Trade Secrets.

• Section 31 provides for non release of records if
  they relate to trade secrets or financial,
  commercial, industrial, scientific or technical
  information belonging to the State or a public
  body and is of substantial value or is reasonably
  likely to be of substantial value AND access to
  the record could reasonably be expected to result
  in an unwarranted benefit or loss to a person or
  class of persons.

30
Public Interest

• Of benefit to the community, the good of society,
  the public good
• NOT of interest to the public
• There are many different public interests which
  need to be balanced against each other
• Identify those for and against disclosure

31
Public interests in favour of disclosure

• To promote openness and transparency of public
  administration
• To demonstrate accountability for decisions and
  for public expenditure
• To give effect to rights of access under the Act
• To enable requester to seek legal remedy
• To reveal risk to health or public safety

32
Public interests against disclosure

• Harm to business and personal privacy
• Harm to investigations, law enforcement, tests,
  audits (and other specific harms protected by the
  exemptions)
• Harm to proper workings of public bodies or their
  decision making processes

33
DCU Values in Leadership Through Foresight

• DCUs distinctive values are to be
• Collaborative and networked
• Accessible and open
• Developmental and supportive
• Innovative and flexible
• DCU is committed to intellectual integrity,
  objectivity, and academic freedom.

34

• Questions?