Compliance Checklist

To help you comply with your obligations under the law, and demonstrate best practice, here is a handy checklist which you can use to test yourself about key areas:  

• Front line staff preparedness
• Processes for FOI requests
• Records management
• Contracts
• Environmental information

Frontline staff

Do you staff:

• know about the Act?
• take it seriously?
• know where your publication scheme is?
• know what's in your publication scheme?
• know what to do if they are unsure whether to release information from the publication scheme?
• know about the duty to advise and assist?

Also ask yourself:

• Will your staff recognise a FOI request?
• Will they be able to advise and assist?
• Are they able to issue a valid refusal notice?
• Are they able to issue a valid notice if you don't hold the information?
• Have managers set up systems for receiving FOI requests? For example, how would you deal with the following cases:
• emails to members of staff who are on leave/sickness absence?
• letters marked "private and confidential" for staff on leave/sickness absence?
• voicemail messages?

Processes for FOI requests

• Will you be able to respond within 20 working days?
• Do you know what a 'working day' is?
• Who decides whether information should be disclosed?
• What happens when there are disagreements about disclosure?
• What plans do you have for seeking comments from third parties?
• Are your reviews processes in place?
• Will your review process be completed within 20 working days?

Records Management

• Have you carried out an information audit?
• Do you know where all your information is and what you hold?
• Do you hold information on behalf of someone else? Is this clearly marked?
• Does someone hold information on your behalf?
• Can you comply with the s.61 records management code?

Existing contracts

• Do your staff know how to deal with requests for information about existing contracts?
• Do they know how to deal with confidentiality clauses in existing contracts?
• Do your contractors know about FOI?
• Will your contractors respond in time to allow you to make a decision within 20 working days?
• Do contractors know what response is required if they don't want information disclosed?
• What will you do if they don't respond in time?

New contracts

• Will you comply with the s.60 Code?
• Have you amended your contract terms?
• Do all of your staff involved in procurement know the rules on confidentiality clauses?
• Will you tell potential contractors about FOI? 

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