1 The Freedom of Information Act 2000 requires all public authorities to make information available proactively by virtue of the publication scheme provisions set out in section 19 of the Act. Publication schemes give details of the classes of information that an authority makes available proactively and how they are accessible. The plans indicate a commitment to publish proactively as much information as possible and will look at how best to transmit the information to those who need to know more.
2 This paper sets out guidance for government departments and non- departmental public bodies (NDPBs) as to the issues that they should consider when deciding what information they will commit to make publicly available in their publication schemes. This is guidance not instructions; neither is it intended to be a model publication scheme. How the commitments in their schemes are delivered is a matter for individual departments and NDPBs. But where departments or NDPBs depart from the guidance in this paper, they should know why they are doing so and be prepared to justify their approach if asked by the Information Commissioner or other interested parties. Executive agencies are not required to have their own publication schemes, but should be included within the scope of the scheme applied by their parent department.
3 Given the different nature of the business of departments and NDPBs it is impossible to have prescribed rules on what each one will include in the publication scheme. The aim of this guidance is to achieve as much common ground as possible.
4 All central government departments and those non-departmental public bodies covered by the Code of Practice on Access to Government Information are required to have their publication scheme approved and in place by 30 November 2002. The scheme will have to be submitted to the Information Commissioner for approval between 1 July and 30 September 2002.
Section 19 of the Act places a duty on every public authority to:
a) adopt and maintain a scheme which relates to the publication of information by the authority and to have that scheme approved by the Commissioner;
b) publish information in accordance with that scheme; and
c) review the scheme from time to time
Each authority's publication scheme must specify:
a) the classes of information which the public authority publishes or intends to publish;
b) the manner in which information of each class is, or is intended to be, published; and
c) whether the material is, or is intended to be, available free of charge or on payment.
In adopting or reviewing a publication scheme, the Act requires that a public authority should have regard to the public interest in:
a) allowing public access to information held by the authority; and
b) the publication of reasons for decisions made by the authority.
5 In deciding the content of their publication scheme, departments and NDPBs should have regard to the public interest in the information that they hold. Some information held by an organisation will be of particular interest to the public and departments and NDPBs should consider what information they hold that they could make available proactively to meet this demand. The information included in an organisation's publication scheme should focus on the key areas of accountability of the organisation.
6 Departments and NDPBs will also need to consider when the information included in their publication scheme will be made available. For example, facts and analysis of the facts relating to policy decisions will normally be made available when policies and decisions are announced. Papers relating to meetings may need to be made available a number of weeks or months before or after the event. Allowance should be made for the time taken to approve minutes or to obtain transcripts. Items will then be held in accordance with the department's or NDPB's record disposal policy as normal in light of their business needs. The scheme should specify the usual retention period for each class of information.
7 There are some kinds of information which all departments and NDPBs should consider for inclusion within their publication schemes. These are detailed in paragraphs 7.1 to 7.12 below. The headings are not intended as specific 'classes of information' although departments and NDPBs may chose to use them as such.
It is expected that publication schemes will provide access to explanatory material on departments' and NDPBs' dealings with the public and other organisations. This includes such rules, procedures, internal guidance to officials, and similar administrative manuals as will assist better understanding of the organisation's interaction in dealing with the public. It will also include internal guidance to officials on implementing/operating the Code of Practice on Access to Government Information (before 2005), the Freedom of Information Act (after 2005), the Environmental Information Regulations and the Data Protection Act 1998.
The Code of Practice on Access to Government Information already commits departments and NDPBs to publishing the facts and analysis of the facts which Government considers relevant and important in framing major policy proposals and decisions. This commitment should be carried forward to the publication scheme.
7.3.1 The Code of Practice on Access to Government Information requires Departments and NDPBs to publish:
i. full information about how public services are run, how much they cost, who is in charge, and what complaints and redress procedures are available; and
ii. full and, where possible, comparable information about what services are being provided , what targets are set, what standards of service are expected and the results achieved.
These commitments should be carried forward to the publication scheme.
7.3.2 In addition, publication scheme commitments are also likely to provide access to the following in relation to the role, function and management of the public authority:
i. mission, objectives and functions of the authority;
ii. organisation of the authority, including information about who is responsible for which function and how to contact him or her;
iii. information about board meetings. This may include the agendas and minutes of the meetings and associated papers or summaries where appropriate;
iv. targets, including those set for standards of service and financial performance, together with results achieved and comparative information; and
v. sources of income, and how effectively money is raised and spent, for example, on different aspects of administration.
7.3.3 The information described above often appears in departmental reports, management statements, financial memoranda etc. Agency framework documents are also useful as they encapsulate the essential management operating arrangements for each agency with regard to its organisation of a department. For the purpose of this guidance it is the information itself and not the form in which it is presented that is important.
7.3.4 On (ii) above, departments and NDPBs will want to consider the appropriate level of seniority of the staff about which this kind of information is to be published. It is important that the public can identify a person who can provide the information they require. How this is achieved may well vary between departments and NDPBs and in some instances requests for information may be channelled through call centres.
7.3.5 Departments and NDPBs should also consider for which formal meetings it is appropriate to publish the agenda, papers and minutes or summaries of these documents. It is likely that departments and NDPBs will want to specify what information will be made available proactively for which meetings, or type of meetings. Regular formal committees or advisory groups are more likely to be included in the publication scheme than ad-hoc or impromptu discussions.
The Cabinet Office guidelines on consultation should be followed. Responses submitted in confidence should have that confidence respected if the information submitted is properly confidential. The number of confidential responses should be published.
There are many different types of circular and they are used to communicate a variety of information. It is probable that some of these circulars will be relevant for inclusion on a publication scheme. Many departments and NDPBs already have this sort of information on their websites and for some circulars it may be helpful to provide an index to improve accessibility. The scale of this task will therefore vary and departments and NDPBs may find that some of this information will be subsumed within other commitments within their scheme.
Departments and NDPBs should consider whether documents placed in the library of either Houses of Parliament should be included within the publication scheme.
7.7.1 Decisions of the Information Commissioner in relation to the Freedom of Information Act and Data Protection Act 1998, and the Parliamentary Ombudsman in relation to the Code of Practice on Access to Government Information, relating to the organisation, are also items to which a publication scheme is likely to provide access. Some of these decisions are published by the Ombudsman and if so it may be appropriate simply to provide a link to that information. However, not all of the decisions are published and this information should be considered for inclusion. The public availability of details of departmental infractions under the Environmental Information Regulations should also be considered.
7.7.3 Reasons should be published for decisions made by the department where the decision affects a significant number of interested parties. An example is the Charity Commission, which is making more information available in relation to its decisions, particularly when there is considerable public interest. The decisions, and reasons, most likely to be appropriate to include in a publication scheme are those which affect a significant number of people. This may sometimes include a decision in relation to an individual, but which sets a precedent or has ramifications for the future handling of similar cases. Personal data relating to individuals should be handled in accordance with the Data Protection principles.
Keynote speeches by Ministers and senior officials are likely to be made available proactively. In practice these are often already made available through a department's press office.
7.9.1 It is helpful to the public to know more about the legal framework within which departments and other public authorities operate. Collating a list in a single place and giving a brief description of the relationship between the legislation and the department's structure and functions should be considered, as should providing details of legislation or codes of practice that give rights of access to information.
7.9.2 Her Majesty's Stationery Office in the Cabinet Office have responsibility for the publication of UK legislation including Acts of Parliament, Statutory Instruments (including those made by the National Assembly for Wales), Acts of the Northern Ireland Assembly, Statutory Rules of Northern Ireland, Church of England Measures and Explanatory Notes to Acts of Parliament and Explanatory Notes to Acts of the Northern Ireland Assembly. Details of these categories of publications will be featured on HMSO's publication scheme with details of where users can view or purchase the documents. It follows that there is no need for organisations to provide full details of legislation which they have policy responsibility for in their own publication schemes. They may, however, wish to feature a reference in their publication scheme to the HMSO website where all newly enacted legislation can be viewed.
7.9.3 Parliament is responsible for the publication of Bills before Parliament and Explanatory Notes to Bills. This material can be viewed on the Parliamentary website. Again, there is no necessity for departments to feature details in their own publication schemes although they may wish to provide a link to the Parliamentary website.
7.9.4 HMSO also arranges for the publication of the London, Edinburgh and Belfast Gazettes. Details of these will be featured on HMSO's publication scheme. Organisations should, however, refer in their publication schemes to the categories of individual notices which are submitted for publication in the Gazettes.
7.9.5 Departments should provide details of Command Papers, White Papers and Green Papers which they have responsibility for publishing. For reference, a list of all Command Papers is published on HMSO's website.
7.9.6 Texts of international treaties, conventions and agreements should be accessible if not provided elsewhere. Departments may wish to provide cross-references to relevant documents of European Community legislation. It is suggested that details could be supplied of websites where the material can be viewed or from where the information can be obtained.
7.10.1 Departments and NDPBs are encouraged to be as open as possible when considering making available information in relation to procurement, grants, loans and guarantees.
7.10.2 In particular, the publication of procurement and supplier policies should be considered for publication as should the details of contracts awarded. Departments and NDPBs should also consider the provision of information on specific projects including notification of bidding opportunities, decision criteria, contract performance standards, results of regular performance reviews, and results achieved where appropriate. Good examples of the type of information that can be provided can be found on the websites of Southampton Council and the National Assembly for Wales. The Office of Government Commerce can provide further advice about the provision of information on Government procurement.
7.10.3 Departments and NDPBs should consider including their policies on the awarding of grants, loans and the provision of guarantees in their publication scheme as well as background information on schemes administered by the organisation. Publishing an account of how grants have been dispensed under a particular scheme, including overall funds dispensed and an assessment of the benefit of the scheme in terms of its objectives should be considered. The publication of details of guarantees such as the guarantee recipient, purpose and amount should be considered for inclusion in departmental publication schemes whilst respecting legitimate personal and commercial confidentiality.
7.10.4 Information relating to the items above need not include all such information but could be covered in a generic fashion or include information on projects above a particular cost threshold as decided by the department or NDPB.7.10.5 The Lord Chancellor's code of practice on the discharge of the functions of public authorities under Part 1 of the Freedom of Information Act requires that departments and NDPBs ensure that they consider the implications for freedom of information before agreeing to confidentiality provisions in contracts and accepting information in confidence from a third party more generally. In particular, departments and NDPBs should only accept information from third parties in confidence if it is necessary to obtain that information in connection with the exercise of any of their functions. They should not agree to hold information received from third parties 'in confidence' which is not confidential in nature. Acceptance of any confidentiality provisions must be for good reasons and capable of being justified to the Information Commissioner.
This includes a wide range of information, some of which will be specific to individual organisations. In particular, information relating to the environment that would be accessible under the Environmental Information Regulations such as estate management information and greening government reports as well as environmental impact assessments and departmental sustainable development strategies should be made available where appropriate.
Appropriate guidance on the publication of scientific research from the Office of Science and Technology and on risk assessment should be followed when considering the content of a publication scheme. Regulatory Impact Assessments are also likely to be accessible.
Where information is disclosed to an individual in response to a request under the Code of Practice or Access to Government Information, or, from 1 January 2005, in response to a request under the Act, departments and NDPBs should consider whether the information disclosed is of general interest and include released information in the publication scheme where appropriate.
8 Publication schemes are intended to increase access to government information. Therefore the accessibility of the scheme and the information in it is very important. It is best practice to include:
A general copyright statement should be included at the head of the publication scheme. Documents accessible under the scheme should feature an appropriate copyright notice whether published in print or on official websites in accordance with guidance issued by HMSO.
8.2.1 Details of the formats that the scheme itself and the information accessible under it are available in e.g. Braille, Welsh, other languages, electronic, paper etc should be given. The decision to publish information in alternative formats is a result of normal business deliberations and should be considered when a document is produced and is not a matter for a publication scheme.
8.2.2 The scheme itself should be provided on paper and electronically. Consideration of other formats should be in line with the relevant accessibility criteria for publications including the organisation's Welsh language scheme.
8.2.3 Departments and NDPBs may not be able to rely wholly on the internet as a means of making information available proactively. There are many ways by which information can be made available proactively.
Departments and NDPBs should make clear how information can be obtained by the public under the scheme. They should publish a guide for users on applying for information and exercising associated rights under the Code of Practice on Access to Government Information (before 2005), under the Freedom of Information Act (after 2005), under the Data Protection Act 1998 and under the Environmental Information Regulations. Links to information that is part of the organisation's commitment to publish but is provided elsewhere should be provided, including an indication of any on-line resources, such as databases, which can be interrogated directly by requesters where this is reasonable and practicable to do so.
8.4.1 The Information Asset Register (IAR) details Government information assets that can be reused under licence. The IAR focuses primarily on unpublished data holdings and thus provides a guide to the unpublished information resources held by departments. The IAR can help identify what information a department holds, how useful that information is and how to access it. For further information about the Information Asset Register and their links with publication schemes, see HMSO's Guidance note 18.
8.4.2 The department's information asset register should be directly referred to in its publication scheme and should form an important part of their preparations for freedom of information. Each department is responsible for creating its records within its own departmental asset register.
Archiving of the publication scheme for records management purposes should be considered whenever the scheme is updated or otherwise amended. It is suggested that departments and NDPBs should keep their initial scheme, and subsequent versions of the scheme that contain significant changes.
Departments and NDPBs are reminded of their responsibilities for providing information relation to maintaining the complete bibliographic record of all United Kingdom Official Publications. For details please see HMSO's Guidance Note 17.
Publication schemes should be in plain language. The Cabinet Office Plain Language guide should be followed.
9 When having regard to the public interest in the information held by the organisation, it is best practice to consider all the different stakeholders who might be interested in the information and to consult with these groups where possible - this may have to be after the publication scheme is in place with initial assessment of the public interest based on information the organisation already holds e.g. Minister's Cases, website hits etc.
10 Consultation can take a variety of forms. These include traditional written consultation, listening events, seminars with, and visits to, representative groups. Having an e-mail address for comments or an online feedback form can encourage user feedback. Internet discussions are also a valid way of consulting with your 'public' as is both quantitative and qualitative research including surveys and focus groups.
11 A publication scheme must state whether documents in the scheme will be available free of charge or for a charge.
11.1.1 The Environmental Information Regulations permit charges in respect of costs reasonably attributable to the supply of information, provided a schedule of the charges that may be levied is made available to all persons requesting environmental information. The EI Regulations apply to both published and unpublished information, including EI supplied under other enactments. (Treasury and DEFRA will let departments have further advice on charges for Environmental Information when the negotiations on the revised EI Regulations have reached a firmer point). Some organisations may also have legislation on non-environmental matters under which they publish certain information.
11.1.2 The FOI Act does not require that a schedule of charges is included within the publication scheme, but only that the publication scheme specify whether the material is, or is intended to be, available free of charge or on payment. This is important as the Information Commissioner proposes to approve a publication scheme for three to five years. Organisations will therefore be seeking in their classes of information to anticipate the document types or subject areas which the department will be publishing during that period, but it is unlikely to be either practical nor possible to anticipate every future title or charge. 11.1.3 It is suggested that in their publication schemes, organisations should therefore set out their charging policy, but indicate that, where charges are made, the charge for each publication will be listed by the title of the publication on the up to date publications list. A link to the up to date list or a note of where it can be obtained is recommended. For information published under another enactment, this may in some cases take the form of a link to the relevant fees order.
11.1.4 For the purposes of defining the potential coverage of a publication scheme, we must have regard to both section 19 and section 21 of the FOI Act. The latter indicates that where information is available from the public authority on request, it can be regarded as reasonably accessible to the applicant where it is made available in accordance with the authority's publication scheme, and any payment required is specified in, or determined in accordance with, the scheme.
11.2.1 For the purposes of charges, HM Treasury is assuming that a publication is material which:
has appeared on a public website;
has been advertised on a public website, or in a commercial publisher's list, as available, and which is already held by, or immediately available in store to, the department's public enquiry unit in its final format for supply to the public, or similarly by the department's commercial publisher; or
is available from book shops, public libraries, etc supplied by the department or the commercial publisher. Information which is held by an organisation, but which it has not been intended to publish, and has to be extracted specifically for the requestor, is not covered by a publication scheme.
11.3.1 A possible approach is to describe some broad pricing categories which could be applied either to an organisation's publication scheme as a whole or to individual classes.
A single pricing category may apply to a particular class, but two or more pricing categories to other classes.
11.3.2 The appendix to this guidance contains a suggested form of words which assumes that any payment can be requested in advance before a publication is supplied, but this is not yet certain for information supplied under the revised EI Regulations. Square brackets indicate where departments or NDPBs are most likely to need to adapt the wording to their own circumstances.
12 The Information Commissioner has said in her publication scheme Guidance that she will want to review publication schemes every three years although this might be extended slightly for the very first approvals (Central and Local Government) but in any event that period will not exceed five years. The Information Commissioner will require notification of any additions to a Scheme during that period and will require departments and NDPBs to seek approval of the removal of any commitment made in the publication scheme over the same period.
13 When developing their publication scheme, departments and NDPBs should keep in mind that publication schemes are intended as a tool for openness, to increase transparency and accountability and improve decision-making. All schemes should have the public interest as their driver and should help to promote trust between the Government and the electorate. In developing their publication schemes, departments are encourage to look at the experience of their counterparts in other countries with freedom of information legislation and keep in mind that other openness regimes frequently over-estimated perceived risks associated with openness.
We indicate [for each class of information] in our publication scheme which of the following categories could apply to information you intend to use for your private research/study:
a. free of charge on website (i.e. there is no charge by us, although the user would of course have to meet any charges by their Internet service provider, personal printing costs, etc). For those without Internet access, a single print-out as on the website would be available by post from [.....] [or by personal application at [.....]. However, requests for multiple print-outs, or for archived copies of documents which are no longer available on the web, may attract a charge for the cost of retrieval, photocopy, postage, etc. We would let you know this at the time of your request [the charge would be payable in advance];
b. free of charge leaflets or booklets on, e.g. services we offer to the public. List available from [.....], material itself from [.....];
c. free of charge to view at [local office or wherever but charge for [certified] photocopy [a schedule of charges for [.....] is available from [.....] [For other items, we would let you know the relevant charge at the time of your request [the charge would be payable in advance];
d. information available via a website, but a charge would have to be paid before the main part of the information could be accessed. [This is the exception.] This may arise, e.g. where the website is used to deliver a value-added customised service, particularly where the basic data is also available to private sector users who may provide their own value-added service. Where this applies, the reason for the charge and the level of charges would be advertised [where?].
(Note: some 'information' accessible on our website is not published for the information of the general public, but is part of our electronic delivery of services, for example where applications for licences can be made on-line or where tax returns can be filed on-line. In that case, access to records bearing details about a named individual or company is limited to the individual or company concerned and other authorised persons. We explain the conditions applying on our website so that you can read them before you begin to use the relevant on-line service);
e. 'glossy' or other bound paper copies, or in some cases a CD Rom, video or other media, are for charge as in our publication lists available at [.....] [or those of our publisher available at [.....].
If you want to re-use or reproduce our publications, e.g. commercially or for circulation for education, etc, purposes, you will in most cases need to apply for a copyright licence for this. This [Department] [is a Crown body and our information is subject to Crown copyright administered by Her Majesty's Stationery Office]. For HMSO Guidance Notes on a range of copyright issues, see the HMSO website (http://www.hmso.gov.uk/guides.htm) or write to [.....].
[We own the copyright in our information. Our charging policy for re-use and reproduction is [.....] [Note: this applies only to NDPBs which are non-Crown and other non-Crown public sector bodies.].
More details of the Government's policy on where charges are made and on determining the level of charges is available in 'Charges for Information: When and How - Guidance for Government Departments and other Crown Bodies.
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