Scottish Information Commissioner 2013/14 Annual Report Taking FOI forward Contents, facts and figures

2013/14 was a year of firsts… 62% 578

Rosemary Agnew 62% of our appeals were from We received 578 appeals Scottish Information Commissioner members of the public in 2013/14

Commissioner’s welcome Enforcing FOI: Our appeals Enforcing FOI: Our appeals See page 2 See page 4 See page 5 24% 75% 24% of our valid appeals were made We met our target and closed 75% 61We settled 61 cases without following a failure to respond of cases within 4 months the need for a formal decision

Enforcing FOI: Our appeals Enforcing FOI: Our investigations Enforcing FOI: Our outcomes See page 6 See page 7 See page 10 % 20% 78% 67We found wholly or partially 20% of our decisions Awareness of FOI amongst in favour of requesters in 67% concerned requests for the Scottish public is at 78% of our decisions environmental information

Enforcing FOI: Our outcomes Enforcing FOI: Other issues Regional Fact Files See page 11 See page 13 See page 14 Annual Report 2013/14 1

The costs that arise from FOI are outweighed by the 60,000+ % increase in transparency 100 and accountability to the 100% of attendees at our FOI citizen that result. Scottish public authorities reported workshops for the voluntary sector receiving over 60,000 FOI and EIR rated them as ‘good’ or ‘excellent’ Deputy First Minister Nicola Sturgeon requests across the year Holyrood FOI Conference, December 2013

Strengthening FOI: Our events Strengthening FOI: Our events Strengthening FOI: Our research See page 16 See page 18 See page 20 900+ 2,008 Over 900 people subscribe to our 80+Over 80 service-users contacted We received our highest number weekly round-up of decisions us to share positive comments of enquiries to date, at 2,008 about our service

Managing the organisation: Managing the organisation: Strengthening FOI: Our guidance Our approach Our enquiries See page 22 See page 25 See page 26

…so what can 100% £1.69m you expect in 2014/15? We responded to all of our Our total expenditure for information requests within the year was £1.69 million 20 working days Rosemary Agnew Scottish Information Commissioner Managing the organisation: Managing the organisation: Our information requests Our financial performance The last word See page 27 See page 28 See page 29 2 Annual Report 2013/14

Commissioner’s welcome

It was also the end for some things, …enabling and supporting Scottish in particular our authority assessment public authorities to develop and maintain programme. From April 2014 we are high standards of FOI policy and developing a new approach to assessing practice… We want to add value, by authority FOI practice, which we believe helping authorities to help themselves. will deliver improvements in a more One of the ways we do this is through effective and value-for-money way. publishing a weekly round-up of the decisions we have taken and the key If all of this sounds a bit cryptic, let me learning points (positive and negative). give you more insight into what is to We do the reading for you, so that we come in the report. can all learn from each other. We also draw attention to significant decisions FOI is well-established in Scotland. But that have set precedents, and to very more than that, the principles underlying straightforward decisions that are simply it are important to us all; accountability, good examples. openness, transparency, customer service. Our challenge is to live those …positively influencing cultural change principles in the way we use and apply in Scottish public authorities’ approach FOI, ensuring that we both meet statutory to meeting their FOI duties… It is not 2013/14 was a year of “firsts”. For the requirements and, more importantly, enough for authorities to know what first time, Scotland has collected and add value to the way in which public their duties are. We think it is equally collated national statistics about FOI authorities and service users communicate important that they, and others, know requests. For the first time since 2009 and interact. In 2012/13 I laid my Strategic how effectively duties are being delivered. we saw a slight drop in appeals to the Plan before the Scottish Parliament. Since introducing the self-reporting by Commissioner. We received over 2,000 I set five strategic aims which focus on authorities of FOI data each quarter enquiries for the first time. We launched adding value to our FOI regime, so that (which we then publish through our the first of our Regional Roadshows. it contributes towards our collective aims web-site), we have seen many authorities It was the first full year of our Decisions of openness and service improvement. introduce internal reporting systems Round-up. We provided training to through which they reflect on FOI culture and leisure trusts, the first bodies All of my office’s activity focusses on performance such as response times. to be designated by an order made by contributing directly to our aims; both for The good news from the statistics Scottish Ministers under section 5 of the my organisation, and more importantly is that less than 1% of requests result FOI Act. And as if all of that were not for open and transparent access to in an appeal to me. enough, here at the Commissioner’s information in Scotland. We don’t just office we carried out ourfirst want FOI to be good, we want FOI to comprehensive review of the way we move forward and develop as public investigate applications and were among authorities and requesters develop. the first Scottish public authorities to So what have we been doing towards have our Records Management Plan our strategic aims? You will have to approved by the Keeper of the Records read the whole report to get a full picture of Scotland. but here are a few tasters… Annual Report 2013/14 3

22

The Commissioner is supported by a team of 22, (FTE* 20), as at 31 March 2014.

* FTE: Full time equivalent

…encouraging effective and responsible …influencing and supporting the …being recognised as an organisation of use of FOI rights… This year saw the development of Scottish information law accessible experts, that is run efficiently, launch of regional roadshows. We visit and policy… We supported the order governed effectively and leads by an area and offer seminars, workshops made by Ministers under section 5 of example… In January 2014 our Records and meetings to a range of stakeholders. the FOI Act to make cultural and leisure Management Plan (a requirement under These include sessions for requesters bodies delivering services on behalf of the Public Records Scotland Act) was and the local media which focus on how local authorities subject to FOI. This order approved and is being used by the to use FOI effectively. followed the amendments made to FOI Keeper as an example of good practice. by the 2013 Amendment Act, about which we published a detailed briefing. Rosemary Agnew Scottish Information Commissioner

Terms used: FOI Freedom of information The FOI Act The Freedom of EIRs The Environmental Information Information (Scotland) Act 2002 (Scotland) Regulations 2004 4 Annual Report 2013/14

Enforcing FOI: Our appeals Anyone who is unhappy with the way a request for information has been handled by a Scottish public authority can appeal to the Commissioner.

Total appeals by legislation

In 2013/14 we received 578 appeals. Appeals made to FOI Act EIRs Although this was a slight fall (2.7%) on us under the EIRs 33 the previous year, appeal numbers remain 413 high. The good news is that the reduction appears to be attributable to a slight drop 2009/10 380 in appeals about failures by authorities % 37 to respond within timescales. 12 2013/14 424

We saw the sixth consecutive rise in 2010/11 387 appeals made to us under the EIRs, 48 with 12% of our appeals across the year relating to requests for environmental 10 % 523 2012/13 information. 2011/12 475 60 594 9% 2012/13 534 2011/12 67 578

2013/14 511

Who appeals? Appeals by type of requester 2013/14

As always, by far the largest proportion of our appeals came from members 3% Commercial / private enterprise 3% Voluntary / campaign organisation of the public. These accounted for 62% Elected representative 1% Community council of new appeals in 2013/14 (represented as 3%  (MP, MEP, MSP, Councillor) ‘Public and other’ in the chart to the right). 1% Solicitor Solicitor The number of appeals received from 5%  (on behalf of client) journalists increased this year, with these now accounting for 14% of our total appeals, compared with 12% last 8% Prisoner year. Many of these appeals were made 62% Public following a failure by a public authority and other1 to respond within the 20 working day timescale. We explore this further on 14% Media page 12.

1 ‘Public and other’ represents all individual members of the public with no identified affiliation to an organisation or group. Appeals by sector

The largest proportion of our appeals 2% 1% 1% 1% were about requests made to local government, which includes all of 1% 1% 2% 1% Scotland’s 32 local councils and local licensing boards and assessors. 2% 3% 5% 5% The Scottish Government and its 9% agencies continued to account for 9% a significant proportion of appeals, 43% 41% with one quarter of our new appeals 7% about central government. 11%

30% 25% 2012/13 2013/14

Local government Non-ministerial office holders

Scottish Government and its agencies Bodies not covered by the FOI Act2

Other public authority Educational institutions

The NHS Scottish Parliament

Police Publicly-owned companies

Subject of appeals

The subject matter of our appeals Administration of the authority 21% was as diverse as ever, reflecting the Safety and crime 7% enormous range of issues about which Environment 6% people exercise their FOI rights. The 578 578 Total appeals Property 6% appeals we received were categorised into 35 different subjects, encompassing Employees 5% everything from ‘Arts and Culture’ to Finance and expenses 5% ‘Water and Sewage’. Transport and roads 5% ‘Other’3 5% Our top ten categories, which together 35 Care (children and older people) 4% accounted for 68% of our appeals, are Different subjects Planning 4% shown in the table on the right.

Did you know? 2 Some organisations which are not covered by the We have received over FOI Act may fall within the wider scope of the EIRs. 4,500 appeals since FOI 3 ‘Other’ cases are those which we are unable came into force in 2005 to categorise within an existing category. 6 Annual Report 2013/14

Enforcing FOI: Our appeals continued

Reasons for dissatisfaction

Requesters appeal to us when they are dissatisfied with an Information was refused 38% authority’s handling of a request. The reasons for dissatisfaction in 2013/14 remained broadly consistent with last year. No response was received 29% Request was not responded to in full 12% The main reason requesters were unhappy was because authorities refused to disclose information in response to a Requester disputes a ‘not held’ 12% request. Some of these appeals also included dissatisfaction response with the authority’s handling of the request. Request was deemed not valid 2%

It was particularly concerning that the second most frequent Request was refused on cost grounds 2% reason for dissatisfaction was the requester’s perception that Request was deemed vexatious or 2% the authority had failed to respond within the 20 working day unreasonable time-limit. This perception was borne out by the fact that we upheld the majority of ‘failure to respond’ appeals (i.e. found Request was deemed ‘repeated’ 1% in favour of the requester). 24% of appeals received in 2013/14 Requester disputed the fee charged 1% and accepted as valid were made for this reason. Not identified 1% 12% of appeals were made because the requester believed that the authority had not responded to their request in full. A further 12% asked us to investigate an authority’s claim that it did not hold the information asked for. Appeals of this type often take longer to investigate, as we frequently have to require authorities to carry out additional searches or consider an authority’s records management practice.

Types of appeal

In 2013/14, for the first time, we started Of the 578 appeals received, to routinely monitor the types of cases this broke down as: we were receiving in terms of whether 90 26 they were: • invalid (see page 7); 578 • valid but exclusively about the public 185 277 authority’s failure to respond to a request and/or review; or Invalid Valid (investigated) • valid and requiring investigation. Valid (failure to respond) Awaiting validation at the end of the reporting year

(Note: these figures relate only to appeals received by the Commissioner in the reporting year. See page 10 for details of appeal outcomes. Outcome figures also include outcomes of any cases carried over from 2012/13, so will differ slightly)

Find out more Future focus Read our special report on failure to respond at: We are developing tools and guidance to www.itspublicknowledge.info/FTRSpecialReport help authorities assess and improve their own searches Annual Report 2013/14 7

Enforcing FOI: Our investigations We investigate every valid appeal thoroughly but proportionately, examining and exploring the requester’s concerns and comments, and the authority’s submissions. We aim to help the requester get the information (or explanation for non-disclosure) to which they are entitled, at the earliest possible opportunity.

Validating an appeal

Before we begin an investigation, we • the requester has waited 20 working must first make sure that an appeal is days (in cases where a response has ‘valid’. Appeals must meet specific legal not been provided) Thank you for your criteria before we can investigate them. For example, we have to check whether: If we are unable to validate an appeal, help and support… we provide advice and support to the it is very much • a request was made to a Scottish requester to try and help them resolve public authority covered by FOI any FOI issues. appreciated.

• the requester has first asked the FOI Requester authority to review its handling of their initial request

Time taken to investigate Appeals closed within 4 months

We met our target 2011/12 2012/13 2013/14 of closing 75% 75% of appeals within Cases closed without investigation: 4 months 4 months or less 128 185 191 More than 4 months 3 1 0 We try to resolve appeals quickly, taking Sub-total 131 186 191 into account the circumstances of each case. Our aim is to conclude cases Cases closed during investigation: within four months whenever we can. 4 months or less 125 134 99 We worked hard during 2013/14 to More than 4 months 6 18 19 keep our case closure times low. But timescales are not our only concern. Sub-total 131 152 118 We strive to ensure that investigations Cases closed with decision: are of a high standard, and are fair and thorough, but proportionate. 4 months or less 159 121 180 More than 4 months 95 105 139 Closure within four months isn’t always possible. Over 50% of our caseload Sub-total 254 226 319 consists of cases that are rarely Total 4 months or less 412 440 470 straightforward and require more Total more than 4 months 104 124 158 in-depth investigation. These cases can take longer than four months. Total cases closed 516 564 628 These complex cases might, for example, consider a challenging legal issue or involve a large volume of information and/or a large number of exemptions.

Future focus We aim to develop an online form to help requesters make valid appeals 8 Annual Report 2013/14

Enforcing FOI: Our investigations continued

Average age (months) of open and closed appeals

The average age of the cases closed during the year increased slightly during 2013/14, from 3.6 to 3.9 months (an increase of just over a week). This was mainly due to efforts we have made to conclude more of our older cases.

The impact of this work is reflected in the reduction in the average age of cases which were open at the end of the year, from 3.2 months to 2.7 months.

2013/14 2012/13 2011/12 2010/11 2009/10 2008/9 2007/8 Closed during year 3.9 3.6 3.7 5.3 4.9 6.4 9.4 Open at the end of the year 2.7 3.2 3.1 4.4 5.9 5.3 6.7

Age profile of open appeals (%)

By the end of 2013/14 we achieved a 84 0-4 Months significant reduction in the age of our open cases, with 84% of them aged four 66 4-6 Months months or less at 31 March 2014 and 94% aged six months or less. 6-12 Months

Two particularly complex cases were 12+ Months aged over twelve months at the end of the year. Both involved the interaction 19 15 of FOI law with other legislation. 10 4 2 0 At 31/03/13 At 31/03/14

Continuous improvement

Over the year we carried out a root- • Authorities will be asked to respond The Commissioner reviewed and and-branch review of our investigation to our questions more promptly during published her Enforcement Policy, setting procedures: from receipt of an appeal the investigation of appeals; particularly out her powers and duties and in what through to the publication of decision where we’re asking authorities about circumstances they will be exercised. and beyond. Our review identified a matters they should have resolved at This will enable requesters to understand number of areas where our approach their own review stage, or when we more fully the Commissioner’s role and and efficiency could be improved. are seeking details about any searches help authorities to understand what types For example: conducted. of intervention they can expect from us and when. • We will take a resolution-based • We will develop our resources and approach whenever we can. This can guidance to help authorities get their include giving authorities and requesters responses right first time. Future focus an indication of the likely outcome to We have introduced encourage mutual acceptance of the new key performance investigation conclusions. indicators for our 2014/15 investigations Annual Report 2013/14 9

Future focus Find out more Future focus We have introduced Read our Enforcement Policy at: The changes to our new key performance www.itspublicknowledge.info/home/ investigation procedures indicators for our AboutSIC/CommissionerRole.aspx will be implemented 2014/15 investigations and published in 2014/15 10 Annual Report 2013/14

Enforcing FOI: Our outcomes Most of our appeals result in us issuing a legally binding decision. Decisions set out the Commissioner’s findings on a case, and detail any actions that a public authority must take to comply with FOI law.

Appeal outcomes by stage

2012/13 2013/14 Brought forward from previous year 125 156 New appeals 594 578 Total caseload 719 734

Appeals closed in the early stages We cannot accept an appeal Reason for closure: unless it is valid in terms of FOI Premature or ‘out of time’ 40 36 law e.g. a requester must first have requested a review, Withdrawn or abandoned 33 32 and appeals must be brought within Excluded under s.48* 7 7 six months of receipt of a review Invalid format 25 33 response. Body not subject to FOI 11 10 Appeals which were closed because No request for review made 52 62 no request for review was made increased by 19% in 2013/14. No request to public authority 17 11 Sub-total 185 191

Appeals closed during investigation Appeals can be closed during Reason for closure: an investigation. This normally happens when the case is either Withdrawn or abandoned 84 56 ‘settled’ to the satisfaction of Settled 67 61 both parties, and/or where a requester Frivolous or vexatious 1 1 decides to withdraw or abandon their appeal for their own reasons. Sub-total 152 118

Appeals closed with decision Most cases are closed with the Decision outcome: issue of a legally binding decision. We issued the largest For requester 84 123 number of decisions to date For authority 83 107 during 2013/14, with a 41% increase Partially upheld 59 89 on last year. Sub-total 226 319

Total appeals closed 563 628 Total appeals carried forward to next year 156 106

*Under section 48 of the FOI Act, the Commissioner cannot investigate cases involving herself, procurators fiscal or, in most cases, the Lord Advocate. Annual Report 2013/14 11

Invalid appeals

During 2013/14, we couldn’t investigate We often see requesters return to us with 30% of the appeals we received because a valid appeal once a review has been they didn’t meet the legal criteria. As with undertaken. I am very impressed every year, the most common reason for with the speed of early closure was that the requester had We plan to develop an online application not asked the public authority to carry out form for requesters. This will provide reply and the very a review. FOI law requires that this is done appropriate advice and guidance when it before we can investigate. is most needed, and help them to make clear guidance from valid appeals. Our new guidance and your office. When we receive these appeals, we self-assessment resources for authorities advise the requester on the next steps to will also help them to ensure that they enable them to take their case forward. inform requesters of their review and FOI Requester appeal rights.

Settling cases Decision outcomes Decision outcomes 2013/14

We continue to identify appropriate We issued more decisions than ever opportunities to ‘settle’ cases, in place before in 2013/14, with 319 decisions of a formal decision. A settled case is published across the year. This is an one where we have worked with both increase of 41% on last year, and of 93% 28% parties to resolve the case to the compared to five years ago. We also requester’s satisfaction, normally through issued more decisions under the EIRs 39% the authority’s provision of some or all than ever before, with 64 published in of the withheld information. 52% of the 2013/14. This rise is the result of greater cases we closed during investigation efficiency and our change in approach were resolved in this way. to failure to respond appeals.

We started to issue a formal decision routinely on failure to respond appeals. 34% I really appreciated This change in approach was the most 2013/14 your regular efforts effective way of achieving our aim of helping requesters to get the information For requester to explain to me (or explanation) to which they were entitled, at the earliest possible time. For authority Of course, over time we expect to see what was happening Partially upheld and why. failure to respond appeals reduce. Two thirds of our decisions were either Decisions issued by legislation FOI Requester wholly or partially in the requester’s favour, and often required the release of some or all of the withheld information. 2012/13 2013/14 When considered alongside the 61 FOI 178 255 Did you know? cases which were settled, the benefit EIR 48 64 There were no appeals to of appealing to us is clear. the Court of Session against decisions issued in 2013/14 12 Annual Report 2013/14

Enforcing FOI: Other issues

Failures to respond Court appeals

The number of appeals made because Key findings from this report were: If an authority or a requester believes that authorities failed to respond to a request the Commissioner made an error of law or request for review continues to • Failure to respond is an issue in in her decision, they have a right of concern us, even though there was a Scotland, but is more acute in some appeal to the courts. While no 2013/14 slight reduction in this type of appeal (2%) authorities than others decisions were appealed, we did see two from last year. The reduction (of what had appeals this year in relation to decisions been an increasing trend) appears to be • The example of some authorities who issued in earlier years. We successfully the result of our work over the year to have successfully improved response defended both appeals and the highlight these failures with authorities. rates demonstrates that significant Commissioner’s decisions stood. It remains unacceptable that such cases improvements are possible, irrespective still account for almost a quarter of our of the volume of requests an authority The most significant appeal was that valid appeals. receives made by South Lanarkshire Council to the Supreme Court. This followed Failure to respond represents failure • In authorities where the issue appears an earlier ruling by the Court of Session to respect a requester’s statutory rights most acute, the data suggests that which found in our favour. This case under FOI law. In failing to respond, an there are factors outwith FOI influencing concerned a complex relationship authority also fails to inform requesters response rates that FOI practice is not between FOI and the Data Protection Act of their appeal rights. It also increases addressing. 1998. Had the appeal been successful, the risk that requesters become it would have significantly narrowed the disenfranchised from the FOI process, Referendum cases circumstances where personal data lose confidence in authorities and could be disclosed under FOI. The Court question whether public authorities We received a number of appeals in found in our favour in July 2013, with the are open and transparent. 2013/14 seeking information relevant to disputed information subsequently being the independence referendum. These disclosed to the requester. Our concerns around these failures led included requests for legal advice on the Commissioner to lay her first special Scotland’s position in the European Union report before the Scottish Parliament, and for information on Scotland’s share exploring the issues and trends arising of oil and gas revenues. from failure to respond cases. Given the constitutional significance of the referendum, we expedited these cases as far as possible within the law, to ensure that any disclosable information was available to inform the public debate around this vital issue.

Find out more Find out more Read the Commissioner’s special report at: Read our statement on the Supreme Court www.itspublicknowledge.info FTRSpecialReport ruling at: www.itspublicknowledge.info/home/ News/20130729.aspx Annual Report 2013/14 13

Supporting openness

We continue to provide specific support and advice to requesters and authorities to help them address the FOI challenges Thank you… they face. For example, when the City it’s important that of Edinburgh Council decided to publish two sensitive reports about the award of at least parts of contracts for property repairs, we gave them technical expertise and support. these reports

Any requester or authority seeking were released. support in relation to FOI issues can contact us for advice and guidance. FOI Requester Contact details are on page 26.

Environmental information EIR Decisions 2009/10 to 2013/14

2013/14 saw an increase in the appeals relating to requests 64 for environmental information. EIR cases now account for 12% of our appeals, and one-in-five decisions.

We believe that there are two main reasons for this: 48 44 • Public authorities are getting better at recognising requests 39 which should be responded to under the EIRs rather than the FOI Act 21 • Environmental issues are of increasing interest to requesters.

Environmental information cases in 2013/14 covered a wide range of issues, reflecting the broad scope of the EIRs. Cases included requests relating to: 2009/10 2010/11 2011/12 2012/13 2013/14 • the impact on rail freight of widening the A9 (Decision 102/2014)

• Torness and Hunterston nuclear power stations (Decision 121/2013)

• the use of anti-predator nets by the salmon fishing industry (Decision 080/2013).

Find out more Our decisions are published online at: www.itspublicknowledge.info/decisions 14 Annual Report 2013/14 2013/14 Regional Fact Files

National 78% User examples Public awareness • A father whose daughter died from deep vein thrombosis used FOI of FOI1 to examine whether national screening guidelines are being followed. • An FOI request revealed that fewer than one-third of public body board 11,462 members are women. self-reported Appeals to the Commissioner requests2 • We received 199 valid appeals in relation to national bodies, 1.7% of their 70 authorities self-reported requests (2.9 times the Scottish average). This is despite self-reported data reporting receiving only 19% of all requests. • This group of authorities also accounted for 51% of all valid appeals to the Commissioner.

Highlands & Islands 79% User examples Public awareness • A Highland community council accessed information on the allocation of FOI1 of housing. • An Ullapool environmental group accessed information on local 5,713 seabed pollution. self-reported 2 Appeals to the Commissioner requests • At 0.6%, authorities in this region had the highest proportion of appeals in relation to the number of requests received (excluding the ‘national’ region). 24 authorities self-reported data • Of the 34 valid appeals, 18 were about failure to respond.

Strathclyde 76% User examples Public awareness • A campaign group got information on coastguard staffing levels of FOI1 for Scotland’s west coast. • A Johnstone health campaigner received information on mortality 13,691 rates at his local hospital. self-reported Appeals to the Commissioner requests2 • Although authorities in this region accounted for 15% of all valid 41 authorities appeals to the Commissioner, just 8 were about a failure to respond. self-reported data • Decision 175/2013 required the release of the scorecards used by the judges in the George Square design contest.

Ayrshire, Dumfries & Galloway 75% User examples Public awareness • FOI provided access to documents about the regeneration of FOI1 of Stranraer waterfront. • Parents in Galloway used FOI to access information 5,154 on local school proposals. self-reported 2 Appeals to the Commissioner requests • This region has the lowest proportion of appeals to the Commissioner in relation to the number of requests received (0.02%). 16 authorities self-reported data Annual Report 2013/14 15

Grampian User examples 80% Public awareness • Moray residents used FOI in campaigns against the closure of FOI1 of local libraries. • A safety campaigner used FOI to access information on road conditions in Aberdeenshire. 4,549 self-reported Appeals to the Commissioner requests2 • Grampian saw very few appeals about failure to respond: just 2 cases. • In Decision 082/2013 we found that Aberdeenshire Council had been wrong 10 authorities to withhold information relating to safety at an outdoor swimming pool. self-reported data

Fife & Tayside User examples 78% Public awareness • A charity accessed information on the number of children of FOI1 missing from care homes in Tayside. • A Perthshire community group used FOI in its campaign to improve safety on a local road. 6,961 self-reported Appeals to the Commissioner requests2 • This region saw one of the lowest proportions of valid appeals to the number of requests recorded, but a high rate of invalid appeals: 20 authorities 45% compared to the overall average of 33%. self-reported data

Central 75% User examples Public awareness • A Forth Valley resident used FOI to explore the cost of mobile 1 of FOI phones for local NHS staff. Appeals to the Commissioner • Central region saw the highest proportion of invalid appeals, 3,939 48% compared to the Scottish average of 33%. self-reported requests2 • Of the 16 valid appeals, 9 related to Stirling Council, with 5 of these concerning a failure to respond. 8 authorities self-reported data

Lothian & Borders User examples 80% Public awareness • A Borders resident got information on out-of-hours GP of FOI1 cover in his area. • FOI gave access to a flood risk report in Musselburgh. Appeals to the Commissioner 9,007 self-reported • In Decision 249/2013 we found that Edinburgh Napier University requests2 had incorrectly withheld some information about its partnership with another organisation. 24 authorities self-reported data

1 Ipsos MORI Research, October 2013. See page 20 for further information. 2 Number of requests reported by authorities via the Commissioner’s statistics portal. See page 20 for further information. 16 Annual Report 2013/14

Strengthening FOI: Our events Throughout the year we delivered and supported a wide range of events. These provided advice and guidance to people either making or responding to requests.

Regional Roadshows

February 2014 saw the launch of a major The first roadshow took place in Aberdeen new programme of regional ‘roadshows’, in February 2014, with a second roadshow delivered in local areas. These roadshows in Ayr in March. Across the two events It was extremely expanded our tried and tested events for we delivered free advice and guidance useful to get the civil society and the public, to include sessions to over 200 participants from public authorities for the first time. Our staff a range of different backgrounds. benefit of so much visited different regions of the country to deliver bespoke FOI training and guidance specialist knowledge to several different audiences at a range of and experience. events. Selected experts were also invited to attend and address specific topics. John Forsyth, Aberdeenshire Council

Events included:

For authorities For the local media For voluntary organisations A full day of FOI training, developed One-hour sessions provided advice Half-day workshops organised and in consultation with participating and guidance to journalists on promoted in partnership with local authorities to ensure specific needs using FOI effectively and efficiently. voluntary organisation umbrella groups. were addressed. This will help them to make better, Sessions introduced FOI rights, more targeted requests on matters Sessions included: getting FOI ‘right explored cases where FOI has been of public interest. first time’, applying the exemptions successfully used by the sector, and working with the EIRs. Sessions included the discussion and provided practical guidance of case-study examples, and were on making effective requests. delivered in local newspaper offices of public to enable as many journalists as of attendees authority possible to participate. rated the delegates workshops rated the day % as ‘good’ or 96% as ‘good’ or 100 ‘excellent’ ‘excellent’ For Chief Executives and MSPs Commissioner Rosemary Agnew met with local Chief Executives, MSPs and council leaders to hear about their experiences and explore the role that effective FOI can play in supporting good governance and the management of risk.

Future focus We will deliver a further 3 roadshows in 2014/15 Annual Report 2013/14 17

The Centre for FOI

We continued our partnership with develop the skills they need to respond the University of Dundee Law School’s to requests effectively. The workshops Centre for FOI, organising a full-day included sessions on responding All of the workshops conference for over 90 public authority to challenging requests, publishing were good – I was FOI practitioners in June 2013. The event information proactively and the provided a mix of seminars and practical relationship between FOI and data disappointed I could workshops aimed at helping practitioners protection law. understand the FOI environment and only attend two.

FOI Practitioner

Future focus Did you know? We will deliver a further A follow-up seminar 3 roadshows in 2014/15 for practitioners was delivered in May 2014 18 Annual Report 2013/14

Strengthening FOI: Our events continued

Holyrood FOI Conference Network groups

2013 marked the tenth year of our We provided regular support to support for the annual Holyrood FOI network groups of FOI practitioners, conference. The 2013 conference delivering presentations and briefings focused on issues around access to for established forums in the health environmental information and the and local government sectors. We also operation of the EIRs. Speakers, including met a new FOI group from University Commissioner Rosemary Agnew and Secretaries’ Group and participated in Deputy First Minister Nicola Sturgeon, meetings of central government agency explored a range of related issues representatives. across the day. Delegates learned about: recognising requests for environmental Recognising the benefits that these information; the differences between the practitioner groups bring to skills EIRs and FOI; and the impact that access development and the sharing of best to environmental information can have for practice, we supported the establishment individuals and communities. of a new group in 2013/14 for the ‘Other’ bodies listed under Part 7 of schedule 1 to the FOI Act (regulators and NDPBs). Following an initial meeting, participants agreed to meet on a quarterly basis I came away with during 2014/15. a much better understanding of the EIRs.

FOI Practitioner

Future focus The 2014 Holyrood FOI conference will take place on 11 December 2014 Annual Report 2013/14 19

Other events

April September November continued

24 Commissioner addressed a 2 Commissioner addressed a 20 We discussed FOI issues with records management conference Faculty of Advocates group staff at the Commissioner for Ethical Standards in Public Life 26 Commissioner spoke at a 10 We attended the Scottish conference on education sector Parliament’s cross-party group 27 We participated in a Patient First complaints on human rights parliamentary event 16 Commissioner participated 30 We delivered an FOI webinar in the International Conference for the college sector of Information Commissioners December 23 We spoke at a seminar on accessing children’s care records May 3 Commissioner addressed a Scottish Council on Archives conference 10 We met with the Scottish October 6 Commissioner met with Universities Secretaries’ Group staff from Young Scot 4 Commissioner spoke at a records management conference June January 29 We spoke to prison service staff on FOI and governance Commissioner joined, and 7 29 Commissioner addressed a Commissioner participated in an attended the first meeting of, 31 conference on digital records Open Government Partnership the Scottish Government’s Data management Management Board conference 30 We advised a human rights 11 Commissioner addressed the group on using FOI effectively Association of Chief Police Officers conference November

11 We spoke to media students February August about using FOI effectively Commissioner discussed FOI 13 We spoke at a conference on 13 with a local community group 23 We addressed a meeting of local access to care information authority FOI practitioners 14 Commissioner spoke to the Scottish Public Law Group about Scottish FOI March 18 We met with the Campaign for FOI in Scotland 4 Commissioner addressed 19 Commissioner addressed a human rights conference a local government conference 12 Staff delivered an FOI workshop for a regional equality council 20 Annual Report 2013/14

Strengthening FOI: Our research Collecting data about FOI requests and responses in Scotland provides us with important information to help develop and improve FOI and our own resources and services. This data is open to all, and is already being used by a variety of people to understand and explore Scotland’s FOI experience.

FOI and EIR statistics Requests reported by Scottish public authorities 2013/14

In April 2013 the Commissioner launched a new ‘Statistics Portal’. The portal was developed with input from public authorities. Every quarter, over 200 53,867 6,609 FOI EIR Scottish public authorities voluntarily upload their FOI and EIR requests data to this central point. Data includes, Public awareness for example, the number of requests and review requests received, which In total, authorities reported receiving In October 2013 we published the latest exemptions and exceptions authorities 60,476 requests across the year, and research measuring the Scottish public’s apply and whether authorities meet responding to 84% within the 20 working awareness of, and attitudes to, FOI. The statutory timescales. We collate and day time limit. When cross-referenced research, carried out by Ipsos MORI, publish this information quarterly. with our own appeals data, the figures revealed that public awareness of FOI also reveal that under 1% of requests remains high, with 78% of respondents The published data is unadjusted and are subsequently appealed to the indicating that they had heard of FOI. reflects the number of requests each Commissioner, which is very encouraging. The research also revealed the extent to authority records and responds to under which the Scottish public value their FOI the FOI Act and the EIRs. We will continue to work with public rights, with 93% of respondents agreeing authorities to collect and publish this that the right of access to information Over time, it will build into a valuable quarterly data. It is anticipated that this held by public authorities is important, dataset which can be used to analyse important dataset will be used by a and only 13% considering that FOI is trends in FOI usage and explore the FOI range of people in a variety of ways. a waste of public money. experience. For example: by authorities to benchmark their performance against others, drive Respondents were supportive of the The first year’s data was encouraging. improvements across the public sector extension of FOI to other organisations It showed that Scotland’s FOI regime was and identify partners with whom to share providing public services, with 76% generally in good health, with FOI rights experience and practice; by journalists agreeing that prisons run by the being actively used. It told us that most and others who commentate on public private sector should be covered, 79% requests were responded to in time and services; and by researchers and considering that housing associations that, in most cases, some or all of the academics interested in FOI or public should be covered, and 86% considering requested information was released. service. The data will inform our own that trusts providing services on behalf of work, allowing us to target our guidance local authorities should be subject to FOI. and resources towards those areas The latter group were brought within the where the need is greatest. scope of FOI on 1 April 2014.

Find out more Did you know? View the data at our 100% of public online statistics portal: authorities responded https://stats. to our calls for FOI/EIR itspublicknowledge.info statistics Annual Report 2013/14 21

Public attitudes to FOI, September 2013 Learning and development

1% We published the results of a major survey to establish the FOI learning and 3% 2% 2% development needs of Scottish public authorities in May 2013. 6% 2% 7% The survey revealed that 30% of 5% respondents felt they had had too little 26% learning and development about FOI over the last three years. It also revealed that organisations which took a strategic approach to FOI were more likely to 54% 27% recognise the importance of learning 67% and development: underlining that good FOI performance starts at the top of organisations.

The findings of this survey, and ‘Freedom of information ‘It is important for the public to be able subsequent discussions with stakeholders, is a waste of public money’ to access information held by public informed the development of a learning authorities’ and development strategic framework.

Strongly Agree Tend to disagree The framework, published in October 2013, set out our priorities over the next Tend to agree Strongly disagree three years. These include:

Neither / nor Don’t know • Promoting the value of FOI amongst leaders • Supporting authorities to share resources • Developing self-assessment tools • Running specialised events • Providing more guidance on the EIRs.

Did you know? Find out more Future focus 79% of the public think Read the framework at: We will be developing that FOI should apply to www.itspublicknowledge. resources in relation to housing associations info/home/News/ each of these priorities 20131031.aspx during 2014/15 22 Annual Report 2013/14

Strengthening FOI: Our guidance We provide support, advice and guidance to requesters and authorities in many ways. This includes: the development of guidance briefings; the issue of bulletins, newsletters and publications; and direct engagement with our stakeholders.

Decisions Round-up

2013/14 saw the first full year of the ‘Decisions Round-up’, our weekly e-bulletin detailing the learning emerging from the decisions we published that week.

A popular resource with over 900 weekly subscribers, the round-up aims to provide advice and guidance to both requesters and authorities. Common recurring messages across the year included:

For requesters For authorities:

Be as clear as possible Searching for information When requesting information try to describe what you’re Searches must be thorough in order to identify all relevant looking for as clearly as possible. And if you’re not sure, information. Tailor each search according to the information remember that you can ask for help. requested.

Not all information will be held Failures to respond Not all information will be recorded by an authority, and Failing to respond to a request will only store up problems it will often be appropriate for organisations to delete for later and harm your relationship with requesters. Ensure information that is no longer needed. If you are dissatisfied that FOI procedures support a timely response. for any reason, you should appeal to us, but remember there will be cases where information is legitimately Applying exemptions not held. Don’t take a ‘blanket’ approach to exemptions, this will only create problems if a case is appealed. Apply exemptions Keep your requests separate only to withheld information, and ensure you are able to Keep your FOI requests separate from other justify this with clear explanations and evidence. correspondence, such as complaints. Doing so will help the authority identify your request more easily, while also Advise and assist ensuring that the response isn’t held up while your other Always remember the duty to advise and assist, and use issues are dealt with. it appropriately. Doing so will help you respond accurately to requests and reduce the likelihood of follow-up requests or appeals.

Find out more Sign up to receive the weekly round-up at: www.itspublicknowledge. info/signup Annual Report 2013/14 23

Support for new bodies Developing FOI Promoting publication

In June 2013 we welcomed the news We remain committed to supporting We continued to provide practical support that the Scottish Government would the progressive development of FOI law and guidance to public authorities due lay the first order under section 5 of the in Scotland. to update their publication schemes FOI Act, designating bodies that deliver over the year. As a result, we saw all cultural and leisure services on behalf The Scottish Government’s Freedom of local government bodies, colleges of local authorities. Information (Amendment) (Scotland) Act and universities renew their schemes, 2013 came into force on 31 May 2013, choosing to adopt the Commissioner’s Following the announcement, we provided introducing some important changes Model Publication Scheme. The Model tailored support to organisations to help to FOI and EIR law. Most significantly, Publication Scheme is a universal scheme them prepare for their designation on the changes make it easier for criminal which provides a common framework 1 April 2014. This included: proceedings to be brought against public for the publication of information by authority staff who deliberately conceal or authorities. • The development of new information destroy information to prevent disclosure. and resources on our website We produced a briefing on the changes This means that all public authorities • A full-day training event for staff introduced by the Amendment Act in April except health bodies have now adopted new to FOI 2013, and updated it with details of new the Commissioner’s model (health bodies developments in December. are due to review their schemes in 2014). • Meetings, presentations and discussions with key stakeholders During the year we proposed significant We also assessed our own Publication • Support to develop a template ‘guide new content to assist the Scottish Scheme Guide to Information, awarding to information’ to help the sector meet Government in its review of the ‘section 60 it a ‘good’ rating. We aim to achieve an the publication scheme duty. code’; a code of practice which provides ‘excellent’ rating in 2014/15. guidance to authorities on the discharge of their functions under FOI and the EIRs. Our proposals were aimed at providing practical guidance to support public authorities in getting their FOI responses ‘right first time’. The revised section 60 code is expected to be published later in 2014.

Did you know? Find out more Future focus 100% of attendees at our Read our Amendment We will be supporting training event told us that Act briefing at: health sector bodies it met their requirements www.itspublicknowledge. to adopt the Model info/briefings Publication Scheme in 2014 24 Annual Report 2013/14

Managing the organisation: Our approach We strive to be as efficient as possible, and to use our limited resources as effectively as we can. To achieve this we review, assess and update our systems regularly, ensuring that they support our aims and objectives.

Managing our records Managing our resources Managing our performance

Under the Public Records (Scotland) Act Our skilled and professional staff are During 2013/14 we developed a 2011 (the Public Records Act), Scottish undoubtedly our most valuable and Performance and Quality Framework public authorities must produce a important asset as an organisation, and which is being introduced in 2014/15. The Records Management Plan which details we continue to explore ways in which staff Framework brings together performance their arrangements for the management can be supported and developed as they and quality measures across the of records. Records Management Plans carry out their work. organisation (including some new ones), must be agreed by the Keeper of the setting out what they are, and how and Records of Scotland. During 2013/14 we undertook a full review when our performance against these will of our human resource policies and be reported. The Keeper invited us to prepare and procedures and, with the involvement of submit a plan by 31 January 2014. The all staff, identified opportunities to enhance The framework provides a structure for preparation of our Plan was a significant our performance management system. monitoring, assessing and reporting project for us. It gave us an opportunity performance which in turn will help to benchmark our arrangements against This review led to a new approach us to identify and implement service best practice and to review, refresh which will more closely align our improvements. and update our records management performance management system with arrangements so that they support our the achievement of our organisational Your feedback day-to-day business. objectives and reduce the administrative In April 2013 we started to invite feedback burden on the organisation. from requesters and public authorities This work led us to produce an internal party to an investigation. This was to help Records Management Handbook: Resources aren’t just about people, us assess and monitor satisfaction with effectively a staff manual which brought of course. During 2013/14 we also took our service, and identify opportunities the various strands of our records steps to enhance the case management to enhance the experience for both management activity into one easy- system we installed the previous year. requesters and public authorities. to-access document. The launch of The case management system underpins this document was supported by a all our FOI work, from investigations to our In general, the feedback received was very programme of staff training, to ensure own information requests, and throughout positive. Both parties to the investigation that all staff were familiar with our revised 2013/14 we introduced a number of agreed that we were fair (84%), helpful approach. refinements in response to the lessons (93%) and communicated well (93%). learned in the first few months of use. In the subsequent assessment of our We also made further improvements to 87% of public authority respondents Plan, the Keeper commended our our network to ensure it remains reliable reported that they were satisfied with Handbook as offering best practice and robust. our service, with the remaining 13% guidance. The Handbook will be available stating that they were neither satisfied to other bodies as part of the Keeper’s nor dissatisfied. online resources. 71% of requester respondents reported that they were satisfied, and 18% reported they were dissatisfied. When our decision found fully in favour of the authority, requester satisfaction rates dropped to 40% while, when decisions were either Find out more wholly or partially in the requesters’ favour, The Keeper’s assessment of our Records satisfaction rose to 89%. Management Plan can be viewed at: www.nas.gov.uk/recordKeeping/ publicRecordsActAssessmentReport.asp Annual Report 2013/14 25

Managing the organisation: Our approach

Overall satisfaction with our service during investigations 2013/14

We will continue to collect and monitor Dissatisfied Neither / Nor Satisfied feedback on our service, taking opportunities to improve as they arise. Public authorities 0% 13% 87% Requesters 18% 12% 71% Compliments and complaints We received just six complaints in 2013/14, Managing our work Managing risk with three of these coming from the same individual. Each complaint was investigated Our work for the year was planned, driven 2013/14 was our first full year of working by a member of our Senior Management and continuously monitored through an with our revised risk management policy Team. Following investigation, we partially ambitious Operational Plan. The plan and risk register. These were introduced upheld one complaint. We did not uphold explains how we set out to achieve many in 2012/13 as an integral element of our the remainder. None of these complaints of the outcomes detailed elsewhere governance framework. were subsequently taken to the Scottish in this report and how we measured Public Services Ombudsman. their success. Our new policy has been working well, helping us to identify potential risks People don’t, of course, only comment We met or exceeded most (83 out of and implement early action to address on our service when they want to 99) of the challenging targets we had them. As a result, our risk profile has complain. They are also kind enough to set ourselves. We also met or exceeded progressively been reduced across the contact us to let us know how satisfied attendance and participant satisfaction at year. Our policy sets out our risk appetite they are with our service, or to thank staff. the regional roadshows. Where we did not and tolerance. The number of risks We try to capture these whenever we can. meet an objective in full it was generally assessed as being above the tolerance During 2013/14 over 80 service-users because our resources had to be diverted line has reduced from 6 in 2012/13 to contacted us to share positive comments to address another unanticipated activity 2 this year, while the number of risks about our service. Thank you. of higher priority. Regular monitoring assessed as ‘very low’ has increased of the plan meant that we reviewed from 5 to 8. We are keen to learn about what works the workload to ensure that we kept and what does not work well: our high-priority objectives on track. • From complaints we try to identify what We routinely publish an extensive range causes dissatisfaction and whether we of information about our operational need to make changes to address it performance, including: • From compliments we try to identify • Quarterly performance against good practice that we can share or the operational plan build into our service. • Caseload ‘dashboard’ reports, detailing performance against our Key Performance Indicators for appeal case closure times.

Future focus Find out more • Our revised performance management system will be fully Read our Performance implemented in 2014/15 and Quality Framework at: • Our Performance and Quality Framework was implemented www.itspublicknowledge. on 1 April 2014 info/performanceframework 26 Annual Report 2013/14

Managing the organisation: Our enquiries We encourage anyone involved in the FOI process, in any way, to contact us for support and advice. Talking an issue through with a member of our staff can often help a request to run more smoothly, or an issue to be resolved more quickly, preventing difficulties later on.

Total enquiries by year

Enquiry volumes continued to increase. 2,008 This year saw the highest number of 1,817 enquiries received to date at 2,008. 1,634 1,678 This was an 11% increase on 2012/13. 1,602 1,464 1,264

2007/08 2008/09 2009/10 2010/11 2011/12 2012/13 2013/14

Enquiries by type of enquirer 2013/14

The majority of enquiries came from 2% Solicitor (on own or client’s behalf) members of the public, affiliated to 3% Voluntary / Elected representative no particular group or organisation 1%  campaign organisation (MP, MEP, MSP, Councillor) (represented as ‘Public and other’ in the chart on the right). Public authority staff Academic / student Commercial / 1% were also regular users of our enquiry 4% private enterprise service. Almost a quarter of enquiries (24%) were from public authorities, 6% Media commonly seeking advice on the effective implementation or interpretation of FOI and the EIRs. 59% Public and other1 6% of enquiries came from the media. Public authority Media enquiries included both press 24% enquiries to our office, and enquiries from members of the media about using their 1‘Public and other’ represents FOI rights. all individual members of the public with no identified affiliation to an organisation or group.

Find out more Future focus Want to know more about FOI or the EIRs? From 2014/15 we will be reporting on Contact us on 01334 464610 or enquiries in a different way, using our new key [email protected] performance indicators to enhance reporting Annual Report 2013/14 27

Managing the organisation: Our enquiries Managing the organisation: Our information requests

As a Scottish public authority we too are required to respond promptly to the FOI and EIR requests that we receive.

Information requests to the Scottish Information Commissioner

We responded 2011/12 2012/13 2013/14 to 100% of 10 0 % our information Publication Scheme Enquiry 39 17 10 requests within Request for information held 20 working days 138 181 143 by Commissioner FOI Act 135 174 139 We received 143 information requests and responded to all of them within the EIRs 3 6 2 20 working days required by FOI law. Joint FOI/EIRs 0 1 2

92 of the 143 requests we received were Information provided in full 44 42 30 for information not held by us. Of the Information partially supplied 17 31 11 other 51 cases, we only withheld Information not held by the Commissioner 67 88 92 information under exemptions in four cases. We disclosed information, in full Information not supplied 10 21 10 or part, in 81% of cases where we held Not within remit 0 0 0 information. Request withdrawn 2 8 2 11% of our requests were for information Vexatious/manifestly unreasonable 2 0 0 about the appeals we investigated. These Exempt 5 11 4 requests often asked for information about Clarification sought (but not given) 1 0 2 the way an investigation was conducted, or for correspondence with an authority. Information request invalid 0 1 1 While we try to provide information where No response to initial request 0 1 0 we can, we must sometimes withhold it, Repeat request 0 0 1 particularly in cases where a requester asks us for the withheld information No of times a fee was charged 0 0 0 that was provided to us by an authority. It could be a criminal offence for us to Request for review 3 7 3 release information of this type. Internal review upholds original decision in full 2 5 2 Internal review partially upholds 1 0 0 previous decision No response to original request 0 1 0 Request for review invalid 0 1 1 Request for review withdrawn 0 0 0

Subject Access Request 6 7 2 (Data Protection Act) Find out more We’re pleased to provide Proportion of requests answered within 100% 99% 100% advice and assistance to statutory timescales: help you make a request No of requests answered outwith statutory 0 1 0 and to find information timescales already published on our website. No of requests answered within statutory [email protected] 138 180 143 timescales 01334 464610 28 Annual Report 2013/14

Managing the organisation: Our financial performance

Financial Overview: 2012/13 and 2013/14

2013/14 was the final year of a three-year Analysis of Expenditure period in which we were required to Year Ended Year Ended reduce our budget by 15% in real terms. 31/03/2013 31/03/2014 The majority of our financial resource is £000s £000s spent on staffing, and it was in this area that most of our savings were achieved: Staffing Costs 1,132 1,137 this was through natural turnover. We also improved our efficiency while ensuring that Operating Costs the quality of our service did not suffer as Administration a result. (includes legal costs of £110,000 (2012/13: 252 309 £73,000) incurred in defending appeals to the Courts) During the year our principal business risk related to ensuring our resources Travel Expenses 10 12 remained sufficient to meet our statutory Property (includes rent and rates) 84 77 duties in future years. Following constructive discussions with the Scottish Audit 14 13 Parliamentary Corporate Body, which Depreciation 96 114 approves our budget, we agreed a Operating Costs 456 525 budget for 2014/15 which will enable us to maintain our current high service Total Operating Expenditure 1,588 1,662 standards and deliver our ambitious Operational Plan objectives. Capital Expenditure Fixed Assets: We remain focused on seeking ways IT Systems 15 1 to continuously improve the way we meet our statutory duties. For example, Fixtures & Fittings 0 2 in 2014/15 we will implement the revised Buildings 0 0 investigation procedures we developed Intangibles: this year. We will also develop an online form to help requesters make appeals, Case Management System 7 23 which will enhance the service we Other 0 0 provide and improve our efficiency. Capital Expenditure 22 26 For a full copy of our audited annual Total Expenditure 1,610 1,688 accounts, and more information on our finance and governance arrangements, Summary visit our website at www.itspublicknowledge.info Staffing Costs 1,132 1,137 Operating Costs 456 525 Capital Expenditure 22 26

Total Expenditure 1,610 1,688

During 2013/14 we recovered £145,000 of costs incurred in successfully defending appeals to the Courts. In 2012/13 we recovered £7,000. The last word

I said in my introduction that we were not asked the authority for information or changing the way in which we assess for a review. Providing more immediate Scottish public authorities. We are guidance alongside an online form will help developing a ‘Self-assessment Toolkit’: requesters contact the right organisation a series of modules that authorities can at the right time, and should lead to them use to assess their own performance, getting information sooner. and put in place action plans to improve. This approach has many benefits over our …influencing and supporting the previous approach: it is more likely to lead development of Scottish information law to the embedding of good practice; it can and policy… As we approach the 10th be used by many authorities (as opposed anniversary of FOI, we will mark the to assessments of single authorities at a occasion with a Special Report about the time); authorities can focus on developing scope of the legislation to promote debate FOI practice in specific areas that may about which organisations are covered. be challenging for them; and it provides opportunities for continuous improvement. …being recognised as an organisation of The first of our modules will support accessible experts, that is run efficiently, responding to requests on time. governed effectively and leads by example… We have introduced a range By the time you read this report, Scotland …positively influencing cultural change of new performance indicators from will have held the Referendum, the Ryder in Scottish public authorities’ approach April 2014 to help us monitor our own Cup will have been and gone and I will to meeting their FOI duties… effectiveness in delivering our statutory have laid my first Special Report:Failure to Our programme of regional roadshows duties, both under FOI and as a Scottish Respond to FOI Requests: extent, impact continues. In the introduction I told you public authority in our own right. This and remedy. The one thing they all have in how roadshows provide opportunities includes reviewing our own publication common is that whatever the outcomes of for requesters to learn about using FOI scheme, and more actively sharing good these events, FOI goes on; requesters have more effectively. We also deliver sessions practice, for example, through our website, the same rights, authorities have the same for authorities. The programme for each a blog, and a report that brings together obligations and my office is still pursuing roadshow is developed in consultation the learning points from the decisions its strategic aims of adding value to FOI with the delegates themselves to target round-up. for those who use it and those who are and respond to their needs. We cover subject to it. a range of FOI related issues from how And, of course, there is business as to understand duties under the EIRs usual. Our full work plan is in our 2014/15 Our five strategic aims focus on adding to the importance of embedding FOI Operational Plan, available at value to our FOI regime, so that it in governance systems. www.itspublicknowledge.info/ contributes towards our collective aims of operationalplan. openness and service improvement. These …encouraging effective and responsible aims are all the more poignant as we are use of FOI rights… We will continue to approaching the 10th anniversary of FOI. monitor FOI awareness. We are also reviewing our website and making our So what can you expect from my office guidance more accessible, in particular next year? through the creation of an online form to Rosemary Agnew help requesters make applications to me. Scottish Information Commissioner …enabling and supporting Scottish public We have found from analysing our data authorities to develop and maintain high that a good proportion of appeals cannot standards of FOI policy and practice… be investigated because the requester has Scottish Information Commissioner Kinburn Castle Doubledykes Road St Andrews, Fife KY16 9DS t 01334 464610 f 01334 464611 [email protected] www.itspublicknowledge.info

Laid before the Scottish Parliament in September 2014 in pursuance of section 46 of the Freedom of Information (Scotland) Act 2002. SG/2014/162