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Compliance and assurance

This module looks at how your public authority manages its FOI requests, whether it is able to understand its compliance with the FOIA timeframes, if it can identify performance levels at an individual case or group level and react to issues to improve performance.

All questions are mandatory.

Criteria

Good:

  • Tracking and monitoring systems enable the public authority to respond promptly and always in line with statutory timescales.
  • Senior managers routinely review FOI performance against targets to identify opportunities for improvement.
  • Prompt action is taken when issues that could impact on compliance with response times are identified.

Adequate:

  • Tracking and monitoring systems generally enable the public authority to respond promptly in line with statutory timescales.
  • Senior managers occasionally review FOI performance against targets to identify opportunities for improvement.
  • Action is generally taken when issues that could impact on compliance with response times are identified.

Unsatisfactory:

  • Little or no tracking and monitoring: responses rarely issued in line with statutory timescales.
  • There is little or no review of FOI performance against targets.
  • Little or no action is taken when issues that could impact on compliance with response times are identified.
1. The way in which requests are logged, tracked and monitored is…
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There is a log or record of received requests and reviews, showing how they have been handled to monitor progress. This could range from a simple Excel spreadsheet for small public authorities to a casework management system for larger authorities who receive a high volume of requests.

2. When a response is delayed or likely to be delayed, the process is...
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When a response is late, or is likely to be late at any stage of the internal processes, it is clear when to escalate, who is responsible for taking action, the action they will take and by when.

3. The way in which complaints to the ICO are logged, tracked and monitored is…
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The public authority manages its relationship with the ICO and has a nominated point of contact about complaints to the ICO.

4. The internal reporting of FOI performance information is…
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Are you producing quality performance information? FOI performance information should provide oversight of requests, including the current compliance with the required timescales for requests and reviews. It should indicate any possible future issues as well as identify backlogs.

5. The way in which monitoring helps improve FOI performance is…
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Is your management information telling you what you need to know? Is it used? Any FOI management information produced is raised to the appropriate stakeholders and action is taken when required.