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TRANSCRIPT
Freedom of Information Policy
Policy Author: Freedom of Information Officer - Jenna Johnston
Policy Owner (for updates) Freedom of Information Officer
Version ControlVersion Number 2.1Date of Original Document November 2014Last Change and Approval Date December 2018 – change of addressLast Review Date March 2017Next Formal Review Date March 2019
Location and Access to DocumentsLocation of master document G Drive Access to document for staff FOI blog
Post holders names at last reviewFOI Officer Jenna Johnston
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If you require this or any other NHS Orkney publication in
an alternative format (large print or computer disk for
example) or in another language, please contact the
Freedom of Information Officer
Telephone: (01856) 8220 or
email [email protected]
2
Index
Page1 Introduction 42 Policy statement 43 Responsibilities 54 Records management 65 Publication Scheme 66 Handling requests for information 6
6.1 Request received 66.2 Clarification 7
7 Charges 78 Exemptions and refusals to respond 89 Approval process 810 Requirement to review 911 Monitoring 912 Contact details and further information 10
APPENDICESAppendix 1 Freedom of Information Guidance 11Appendix 2 Full list of exemptions 14Appendix 3* Freedom of Information Review Procedure 15Appendix 4 NHS Orkney Publication Scheme 21Appendix 5 NHS Orkney Publication Scheme Guide to
Information 25
Appendix 6 53Appendix 7* Freedom of Information Request Handling Procedure 58
* Please note the FOI review and FOI request handling procedures have been added to the FOI Policy for information only. Links to specific files within these procedures are only relevant and accessible to the FOI Officer and other members of staff working directly with FOIs.
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1 Introduction
1.1
1.2
1.3
The Freedom of Information (Scotland) Act 2002 (“the Act”) gives a right of access to almost all types of recorded information held by public authorities. The Act places a statutory obligation on public authorities to publish details of recorded information and allow the general public to access this information on request, subject to certain exemptions.
The Act applies to public authorities across Scotland including local authorities, the police, colleges and universities, the Scottish Government, the NHS (including NHS Orkney) and the Scottish Parliament.
The Act is overseen by the Scottish Information Commissioner, who has the power to issue enforcement notices and, if needs be, initiate court proceedings to ensure compliance.
2 Policy statement
2.1
2.2
NHS Orkney is committed to being open and transparent in the conduct of its operations and in complying fully with the Act and Scottish Ministers Codes of Practice.
NHS Orkney will:
Ensure that records are created systematically, that they can be retrieved efficiently and can be provided promptly to any person making a request for information. This policy links to NHS Orkney’s Records Management Policy;
Make all employees aware of their obligations under the Act , guidance will be provided depending upon the extent to which various categories of staff will be involved in managing requests for information;
Monitor compliance with legal requirements of the Act and undertake audits from time to time;
Routinely publish a wide range of information through the publication scheme;
Information will only be withheld in accordance with the exemptions laid down in the Act, and in particular those concerning:
- NHS Orkney’s duties under the Data Protection Act 1998 to prevent the release of confidential information relating to patients or members of staff;
- Material to the safe and efficient conduct of NHS Orkney’s operations
If information is withheld the applicant will always be informed of the reasons why it will not be released.
3 Responsibilities
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3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.8
3.9
NHS Orkney has the responsibility to make its information available in accordance with The Act.
The Director of Nursing, Midwifery and Allied Health Professions has been nominated by the Chief Executive as the Lead Executive to oversee compliance with the Act.
The Freedom of Information Officer will ensure that all policies and procedures concerning compliance with the Act are produced, approved, implemented and monitored. He/she will also ensure adequate training is provided to the relevant personnel and promote awareness throughout the organisation.
Executive directors and managers at all levels are responsible for ensuring that the staff for whom they are responsible are aware of and adhere to this policy. All members of staff, whether or not they create, receive or maintain information have responsibilities under the Act. They must ensure that any request for information made is dealt with as per the FOI guidance (Appendix 1) and is forwarded to the FOI officer immediately.
Members of staff must provide information promptly to the FOI officer if required.
NHS Orkney and Orkney Islands Council established a partnership arrangement in 2010 which was called Orkney Health and Care (OHAC). Following the Public Bodies (Joint Working)(Scotland) Act 2014, which came into force on April 1, 2016 the Integration Joint Board (known as OHAC) was formed.
For the purposes of the Act the Integration Joint Board is a Scottish Public Authority. Although the Integration Joint Board has delegated responsibilities for the delivery of a wide range of services the majority of FOI requests will be most appropriately dealt with through either NHS Orkney or Orkney Islands Council’s FOI policies.
Specific requests concerning information held by the Integration Joint Board should be made following the process provided in the Orkney Integration Joint Board Freedom of Information Policy (http://www.orkney.gov.uk/Files/OHAC/OHAC_Docs/IJB_FOI_Policy_Accessible.pdf).
4 Records Management
4.1 Effective and efficient management of records is essential for making access
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4.2
4.3
4.4
to information possible.
A record is defined as anything that contains information in any media, e.g. paper, audio or video recording and electronic media.Records Management covers all aspects of records throughout their lifecycle to their eventual disposal.
NHS Orkney has a separate policy to ensure compliance with the Scottish Ministers Code of Practice on Records Management under section 61 of the Act.
Under Section 65 of the Act it is a criminal offence for a public authority to alter, damage, erase, destroy or conceal any record after a request for the information has been made.
5 Publication Scheme
5.1
5.2
5.3
The publication scheme is a legal requirement of the Act, and encourages the proactive and routine publication of information by the board.
NHS Orkney’s publication scheme is available on NHS Orkney’s website (http://www.ohb.scot.nhs.uk/) and in paper format on request from the FOI officer.
Information published on a regular basis is detailed in the publication scheme. Details of the format(s) in which the information is available and whether a fee is applicable are also listed.
6 Handling Requests for Information
6.1
6.1.1
6.1.2
6.1.3
Request received
Section 1 of the Act gives a general right of access to recorded information held by public authorities, subject to certain conditions and exemptions. Requests must be made in a permanent format. (e.g. writing, email).
Under section 15 of the Act NHS Orkney has a duty to provide assistance and advice to any persons who have made or wish to make a request for information. The Code of Practice issued under Section 60 provides further guidance on conforming with the Section 15 duties.All information requests made to NHS Orkney should be directed to the FOI officer immediately.
Members of staff who are asked to provide information for an FOI request should forward any relevant information they hold to the FOI officer as soon as possible, and always within the deadline established by the FOI officer.
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6.1.4
6.1.5
An applicant will receive a written acknowledgement of their request (via email or post) detailing the deadline to which they should expect a response. A response should be issued as soon as possible and always within 20 working days.
NHS Orkney’s FOI procedure provides detailed information for dealing with FOI requests (Please see Appendix 6).
6.2
6.2.1
6.2.2
6.2.3
6.2.4
Clarification
Where a request has been received but more information is required from the applicant to identify and locate the relevant information the FOI officer should approach the applicant for clarification as soon as possible.
As per section1(3) and 10(1)(b) of the Act the statutory 20 working days deadline will not start until sufficient clarification has been received from the applicant to allow NHS Orkney to identify and locate the requested information.
NHS Orkney will provide advice to assist the applicant to clarify the information they request and never use this as a delaying technique.
If no clarification is received from the applicant within 60 working days the request shall be closed. See the Scottish Ministers' Code of Practice for further information.
7 Charges
7.1
7.2
7.3
7.4
Any information made available through the Publication Scheme will be free of charge unless otherwise specified.
However, NHS Orkney may charge an appropriate fee for dealing with a specific request. This charge will be calculated in accordance with the statutory ‘fees regulations’.
NHS Orkney can charge direct and indirect costs incurred in locating, retrieving and providing information. Charging for time spent determining whether the information is held cannot be charged for.
If costs exceed £600 NHS Orkney does not have to comply (section 12 of the Act) with the request. Staff time can be charged for up to a maximum of £15 per hour. The fees regulations limit the chargeable amounts as follows:
Up to £100 - no charge can be made; £100 to £600 – first £100 deducted, NHS Orkney can charge 10% of
this cost;
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7.5
Over £600 - no obligation to provide information.
If a charge is to be made before information is released a fees notification will be provided to the applicant. Information will not be released until the sum has been received by NHS Orkney.
8 Exemptions and refusal to respond
8.1
8.2
8.3
8.4
8.5
8.6
NHS Orkney does not have to comply with information requests if the information is exempt under the provisions made in Sections 25 to 41. Exemptions will be applied on a case by case basis rather than applying on a blanket basis, (see Appendix 2 for a full listing of exemptions).Exemptions may be applied to an entire request or part of a request. The FOI officer or deputy shall apply exemptions to responses as applicable. If necessary the application of exemptions will be discussed with the Director of Nursing, Midwifery and Allied Health Professions or the Caldicott Guardian.
Absolute exemptions: If an absolute exemption applies NHS Orkney will not release the information. Absolute exemptions include confidential material and information published elsewhere amongst others.
Non-absolute exemptions: The ‘public interest’ test applies to determine if the public interest in disclosing the information outweighs the public interest in maintaining confidentiality. This includes commercial interests and personal information of third parties.
NHS Orkney will favour disclosure wherever possible. If applying an exemption NHS Orkney shall inform the applicant and provide information on why the request has been refused.
NHS Orkney is not obliged to comply with a request deemed to be vexatious or repeated (section 14 of the Act). The request log can be used to identify repeated or vexatious requests.
Under section 17 of the Act if NHS Orkney does not hold the requested information the applicant shall be informed of this.
9 Approval process
9.1
9.2
Once information has been received from all relevant information sources the response should be collated using a standard template.
The response must be sent to the Director of Nursing, Midwifery and Allied Health Professions for first approval. Once any required amendments have been made the Director of Nursing, Midwifery and Allied Health Professions shall forward the response to another member of the executive management
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9.3
team for second approval.
The response must also be sent to the NHS Grampian Communications department who deal with all of NHS Orkney’s external communications.
10 Requirement to review
10.1
10.2
An applicant has 40 working days following the receipt of a response (or the date at which they expected to be issued with a response) to lodge a review request. NHS Orkney has developed a FOI review procedure in line with The Scottish Minister’s Code of Practice which provides in depth details of the review procedure (see Appendix 3).
Following completion of an internal review if an applicant remains dissatisfied they may apply to the Information commissioner for an appeal.Requests for an independent review should be made in writing to the Scottish Information Commissioner:
Kinburn Castle,Doubledykes Road,St Andrews,Fife,KY16 [email protected]
11 Monitoring
11.1
11.2
11.3
11.4
11.5
The FOI Officer will maintain a register of all requests made for information under the Act. Details of the applicant, important dates, staff involved, exemptions applied must be collected along with other useful details.
A log shall also be kept of all review requests and appeals. Details of important dates, deadlines and staff involvement must be collated.
Monthly reports will be submitted to the Information Governance Group. Annual detailed reports shall be submitted to the Information Governance Group and on to the Clinical and Care Governance Committee.
As and when required reports and presentations shall be given to the Corporate Management Team to highlight areas of concern or provide feedback.
The FOI officer will ensure that the requirement to submitted quarterly statistics to the Scottish Information Commissioner is fulfilled.
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12 Contact details and further information
12.1
12.2
Additional information can be obtained from the NHS Orkney’s website (http://www.ohb.scot.nhs.uk/)
Or please contact:Freedom of Information OfficerBalfour Hospital New Scapa RoadKirkwallKW15 [email protected]
Useful websiteswww.scotland.gov.ukwww.itspublicknowledge.info
APPENDIX 1 – Freedom of Information Guidance
Freedom of Information 10
(Scotland) Act 2002Introduction The Freedom of Information (Scotland) Act 2002 Act (FOISA) applies to practically all public bodies in Scotland, including local authorities, the NHS, Colleges and Universities, the police, the Scottish Parliament and the Scottish Executive. This includes NHS Orkney.The Act provides a right to access information held by public authorities, leading to increased accountability and openness across the public sector. Any individual anywhere in the world has a right to request information. If an authority holds requested information then it will have to give access to it, unless an exemption applies.Any recordable information is subject to the act, this includes all correspondence, files, minutes and even emails. It does not matter how old the information is.
WHAT DOES FREEDOM OF INFORMATION MEAN FOR NHS ORKNEY?The FOISA creates two principle obligations for NHS Orkney:
- Adopt and maintain a publication scheme which details all information made routinely available by NHS Orkney. The scheme also sets out how to access information and if there is a charge for it. NHS Orkney’s publication scheme is available on NHS Orkney’s website.
- Where information is not proactively made available NHS Orkney must comply with requests for information it holds. All requests for information must be dealt with promptly and responded to within 20 working days.
RECORDS MANAGEMENTGood records management practices help us to meet our duties under the Act. If records are easy to locate, for example, then requests can be dealt with quickly.NHS Orkney’s Records Management Policy can be found on the blog.
HOW IS A REQUEST MADE?Requests for information must:
- be in writing or another permanent format (such as emails, faxes and voicemail messages)- state the applicants’ name and an address for correspondence- describe the information being requestedAn applicant does not need to state the FOISA to make a valid FOI request
HOW DOES NHS ORKNEY HANDLE A REQUEST?NHS Orkney has a duty to help anyone who proposes to make a request for information, as set out in the Code of Practice. All requests should be dealt with promptly and in any case within 20 working days. If required NHS Orkney can ask for more details from the applicant in order to identify the information requested.
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FEES - NHS Orkney may charge for certain information for example to provide printed documents.
RESPONSE - A response must be issued to the requester promptly and always within 20 working days. NHS Orkney is not obliged to comply with a request if an exemption applies, the cost of doing so would exceed £600 (as set out in the Fees Regulations), or the information is not held by the authority.In any of these instances, NHS Orkney must notify the applicant.
EXEMPTIONS Certain information does not have to be release by NHS Orkney, such as confidential information.There are two types of exemptions: - Absolute – the exempt information is not subject to the public interest test e.g. information already published elsewhere or personal data relating to the applicant.- Non-absolute – the public interest in releasing information must be considered e.g. third party personal data about staff or information which may endanger the physical or mental health of any individual.
DATA PROTECTION PRINCIPLESThe Data Protection Act 1998 aims to secure individuals’ rights to privacy by protecting information held about them. Anyone processing personal data must comply with the eight enforceable data protection principles. These state that personal data must be:- fairly and lawfully processed- processed for limited purposes- adequate, relevant and not excessive to the purpose of the processing- accurate- not kept longer than necessary- processed in accordance with the data subject’s rights- held securely- not transferred to countries without adequate protection
FOISA AND DATA PROTECTIONNHS Orkney must comply with the data protection principles which control how data is processes. Individuals have the right to ask for the personal data held about them. This type of request is exempt under FOISA and will continue to be handled under data protection as a subject access request.If an applicant makes a request for information relating to another living individual this is handled under FOISA. However, this information may be exempt if the release would involve:- A breach of any principles in the DPA- Health records of those who are deceased
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ENVIRONMENTAL INFORMATIONThe FOISA does not apply to Environmental Information (e.g. chemicals used, noise pollution), the Environmental Information (Scotland) Regulations 2004 gives very similar rights to applicants.
REVIEWS AND APPEALSIf an applicant is not satisfied with the response they have received or have not received a response within 20 working days they can request a review from NHS Orkney. A request for a review must be in writing and received within 40 working days of the response being issued or the deadline the response should have been issued.NHS Orkney must deal with the review request within 20 working days.Following the review process if the applicant remains dissatisfied they may lodge an appeal with the Information Commissioner
THE INFORMATION COMMISSIONERThe Commissioner is a fully independent public official. The Commissioner has a wide variety of powers under the FOISA to ensure compliance, an authority could be found in contempt of court if it fails to comply with a notice issued by the Commissioner. The commissioner also has responsibility to promote good practice
ENFORCEMENT AND PROSECUTION On occasions the Commissioner may become aware that an authority is not complying with its duties under the FOISA. In this situation the Commissioner can issue an enforcement notice that informs the authority which part of the Act it is failing to comply with and what action need to be taken.In a small number of cases courts may become involved, it is a criminal offence for anyone to destroy or erase information after a request has been made. Such cases will be dealt with in the Sheriff court and the offence carries an offence of up to £5,000.
FURTHER INFORMATIONAdditional information can be obtained from the NHS website.Or please contact:Freedom of Information OfficerBalfour HospitalNew Scapa RoadKirkwallKW15 1BH
Useful websiteswww.scotland.gov.ukwww.itspublicknowledge.infoAPPENDIX 2 – Exemptions summary
Section Summary details
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Absolute exemptionsS25 Information otherwise accessibleS26 Prohibition on DisclosureS36(1) Confidentiality – information obtained from a another partyS37 Court recordsS38 Personal information – e.g. deceased persons health records, personal
data of applicantNon-absolute exemptions (subject to public interest test)S27 Intended for future publication (within 12 weeks)S28 Relations within the United KingdomS29 Formulation of Scottish Administration PolicyS30 Prejudice to effective conduct of public affairsS31 National security and defenceS32 International relationsS33 Commercial interests and the economyS34 Investigations by Scottish Public AuthoritiesS35 Law enforcementS36(1) Confidentiality – legal proceedings S38 Personal information – 3rd party information S39 Health, Safety and EnvironmentS40 Audit functionsS41 Communications with her majesty etc, an Honours
APPENDIX 3 – Freedom of Information Review Procedure
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Freedom of Information Review Procedure
Policy Author: Freedom of Information Officer - Jenna Johnston
Policy Owner (for updates) Freedom of Information Officer
Version ControlVersion Number 2Date of Original Document August 2014Last Change and Approval DateLast Review Date November 2016Next Formal Review Date November 2018
Location and Access to DocumentsLocation of master document G Drive Access to document for staff FOI blog
Post holders names at last reviewFOI Officer: Jenna Johnston
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If you require this or any other NHS Orkney publication in
an alternative format (large print or computer disk for
example) or in another language, please contact the
Freedom of Information Officer
Telephone: (01856) 8220 or
email [email protected]
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Index
Page1 Introduction 42 Request for a review 43 Acknowledge the request 44 Conducting the review 55 Notification of the review decision 56 Monitoring 57 Further information 6
APPENDICESAppendix 1 Acknowledgment of receipt template 7Appendix 2 Request for clarification from applicant template 8
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1 Introduction
1.1
1.2
1.3
1.4
1.5
Under section 20 (1) of the Freedom of Information (Scotland) Act 2002 (FOISA), any applicant who is dissatisfied with the way that an authority has dealt with a request for information may require the authority to review its actions and decisions.
The aim of this procedure is to ensure that a fair, impartial and thorough review process is completed by NHS Orkney in the instance of a review request.
The Scottish Ministers’ Code of Practice under Section 60 provides valuable guidance and advice on dealing with review requests.
All applicants are informed by NHS Orkney of their rights to a review if dissatisfied with the response they receive. Details of how a request for review should be made are also provided to the applicant.
Applicants are also informed of their rights to appeal to the information commissioner if they are dissatisfied with review conduct.
2 Request for a review2.1
2.2
2.3
2.4
2.5
2.6
2.7
A request for a review must be made in writing or another permanent format no later than 40 working days from the date the response was issued or the date at which the response should have been issued if not yet issued.
The request must explain what issue the applicant is dissatisfied with (for example the application of exemptions or the time taken to send the response).
The applicant does not need to specifically ask for a review, however, they must specify details of their dissatisfaction with the original decision in order for the review request to be valid.
The request must also state the name of the applicant and an address (this can be an email address).
An authority does not have to conduct a review if the request was judged to be vexatious or a repeat of a previous request.
If a request for review is deemed invalid then the applicant must be informed and advised as to what steps can be taken to make a valid review request.
Review requests made to NHS Orkney should be emailed to the FOI generic mailbox or sent to the Director of Public Health.
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3 Acknowledge the request
3.1
3.2
The FOI Officer will acknowledge the request for a review in writing (email or paper copy as appropriate, using the Review acknowledgement template) to the applicant.
The acknowledgement letter/email shall state the date of receipt of the review request and the date (20 working days from date of receipt) to which the applicant should expect to receive a comprehensive response.
4 Conducting the review
4.1
4.2
4.3
4.4
4.5
4.6
Following the request for review the FOI officer will discuss the review application with the Director of Public Health.
As per paragraph 66 of the Scottish Ministers Code of Practice the review should be handled by staff who were not involved in the original decision, where this is reasonably practicable.
Staff who provided information for the initial enquiry should be consulted to provide an understanding of the rationale used to provide the response.
Consideration should be given to the relevant issue and any matters arising from the review. The request should be considered afresh, any new information sources should be consulted.
Any new information searches and background information should be collected and stored in the relevant folder.
The review may result in one or more of the following decisions and outcomes: That all or part of the information initially withheld should be released That NHS Orkney did not follow the correct procedures for dealing with
the request for information (including not adhering to the 20 working days deadline).
That the original decision should be upheld.
5 Notification of the review decision
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5.1
5.2
5.3
5.4
Following the review, the FOI officer along with the Director of Public Health should compile a decision report using the response template.
The review report must include the following: if decision is to grant the request – the form or manner of access and
any fees payable; if access is refused, the reasons for refusal, quoting the relevant
section in the FOISA; and details of the applicants rights of appeal and contact details for the
Scottish Information Commissioner.
Where the outcome of the review is that information shall be release which was previously withheld the information should be sent with the review report.
If the outcome states that NHS Orkney did not follow relevant procedures the decision report should contain an apology and details of steps taken to prevent a similar error in the future.
6 Monitoring
6.1
6.2
Details of reviews and appeals should be kept in the relevant FOI table.
Information on reviews and appeals shall be sent to the Information Governance Group on an annual basis for monitoring.
7 Further details:
7.1
7.2
Scottish Information CommissionerKinburn CastleSt AndrewsFifeKY16 9DS Telephone: 01334 464610, Fax: 01334 464611, e.mail: [email protected].
FOISA legislation - http://www.itspublicknowledge.info/Law/FOISA.aspx
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APPENDIX 4 – Model Publication Scheme 2014
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APPENDIX 5 – Model Publication Scheme 2014 – Guide to Information (subject to regular changes)
NHS Orkney health board
GUIDE TO INFORMATION AVAILABLE THROUGH THE MODEL PUBLICATION SCHEME 2014
Contents
SECTION 1: Introduction to NHS Orkney Health board Guide to InformationSECTION 2: About NHS Orkney health boardSECTION 3: Accessing information under the GuideSECTION 4: Information that we may withholdSECTION 5: Our Charging PolicySECTION 6: Our Copyright PolicySECTION 7: Records Management PolicySECTION 8: Contact details for enquiries, feedback and complaintsSECTION 9: How to access information which is not available in the Guide to InformationSECTION 10: Classes of Information
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Section 1: Introduction
The Freedom of Information (Scotland) Act 2002 (the Act) requires Scottish public authorities to adopt and maintain a publication scheme which has the approval of the Scottish Information Commissioner, and publish information in accordance with that scheme. The publication scheme must:
publish the classes of information that the authority makes routinely available tell the public how to access the information and whether information is available free of charge or on payment
NHS Orkney health board has adopted the Model Publication Scheme 2014 which has been produced and approved by the Scottish Information Commissioner. It is approved until 31 May 2018.
You can see this scheme on our website at http://www.ohb.scot.nhs.uk/. It is also available on the Scottish Information Commissioner’s website at www.itspublicknowledge.info/MPS You can also contact us at the address below if you prefer a copy of the Model Publication Scheme 2014, or this Guide to Information, to be provided in a different format.
The purpose of the Guide to Information is to:
allow the public to see what information is available (and what is not available) for NHS Orkney health board in relation to each class in the Model Publication Scheme 2014
state what charges may be applied explain how to find the information easily provide contact details for enquiries and to get help with access to the information explain how to request information that has not been published.
Alongside the Act, the Environmental Information (Scotland) Regulations 2004 (the EIRs) provide a separate right of access to the environmental information that we hold. This guide to information also contains details of the environmental information that we routinely make available.
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Section 2: About NHS Orkney health board
NHS Scotland is made up of 14 regional NHS Boards, seven special NHS Boards and one public health body.
Each NHS Board is accountable to the Scottish Ministers. Regional NHS Boards are responsible for the protection and the improvement of their population's health and for the delivery of frontline healthcare services. Special NHS Boards support the regional NHS Boards by providing a range of important specialist and national services.
Introducing NHS Orkney health board
Our purpose: NHS Orkney is constituted to improve health and wellbeing, reduce health inequalities and provide high quality healthcare for the people of Orkney.
Our values: Making patient safety our number one priority Having patient needs and interests at the heart of what we do Living within our means and driving efficiency, productivity and sustainability in all we do
Working with and listening to the community
Working in multidisciplinary teams where everyone’s skills are valued
Creating healthcare facilities that are fit for purpose for patients and staff
Creating an environment where people enjoy working and giving their best
Constantly improving by aiming high, using evidence and best challenge to improve, encourage innovation and driving out inefficiency wherever we find it.
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NHS Orkney health board is responsible for providing a comprehensive range of high quality health services in both hospital and community facilities. We also have a duty to protect public health throughout [insert geographical area covered by the Board]
Health Boards also work with independent primary care contractors - NHS doctors, dentists, pharmacists and opticians - who are contracted by the Board to provide primary health care services to the local population. Primary care contractors are subject to FOISA in relation to their NHS work but are not covered by this Scheme as they have their own practice-based schemes
To find out more about NHS Orkney health board, visit http://www.ohb.scot.nhs.uk/
Section 3: Accessing Information Under the Scheme
Availability and formats
The information published through this Guide to Information is, wherever possible, available on our website. We offer alternative arrangements for people who do not want to, or cannot, access the information online or by inspection at our premises. For example, we can usually arrange to send information to you in paper copy (although there may be a charge for this – see “Section 5 – Our Charging Policy”).
Information in our Guide to Information will normally be available through the routes described below. “Section 10 – Classes of Information” provides more details on the information available under the Guide, along with additional guidance on how the information falling within each “class” may be accessed.
Online: http://www.ohb.scot.nhs.uk/ Most information listed in our Guide to Information is available to download from our website. In many cases a link within Section 10: Classes of Information will direct you to the relevant page or document. If you are having trouble finding any document listed in our guide, then for further assistance please contact: FOI Officer
By email: [email protected] If the information you seek is listed in our Guide to Information but is not published on our website, we can send it to you by email, wherever possible.
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When requesting information from us, please provide a telephone number so that we can telephone you to clarify details, if necessary.
By phone: 01856888220All information in the guide will be available in hard copy form for example, paper copies. Hard copies of information can be requested from us over the telephone. Please call us to request information available under this scheme.
By post: NHS OrkneyBalfour Hospital New Scapa RoadKirkwallOrkneyKW15 1BH
You can also request hard copies of any information in the Guide by post.Please address your request to FOI OfficerWhen writing to us to request information, please include your name and address, full details of the information or documents you would like to receive, and any fee applicable (see Section 5: Our Charging Policy for further information on fees). Please also include a telephone number so we can telephone you to clarify any details, if necessary.
Personal visits:If you prefer to visit us to inspect the information, in limited cases you may be required to make an appointment to view the information. In such cases, this will be set out within Section 10 – Classes of Information, and contact details will be provided within the relevant class.
Advice and assistance:If you have any difficulty identifying the information you want to access, then please contact us to help you.
Exempt information
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We will publish all the information we hold that falls within the classes of information in the Model Publication Scheme 2014. We publish this information in Section 10 of this guide. If a document contains information that is exempt under Scotland’s freedom of information laws (for example personal information or commercial interests), we will remove or redact (black out) the information before publication and explain why.
Section 4: Information that we may withhold
All information covered by our Guide to Information can either be accessed through our website, or will be provided promptly following our receipt of your request.Our aim in adopting the Commissioner’s Model Publication Scheme 2014 and in maintaining this Guide to Information is to be as open as possible. You should note, however, that there may be limited circumstances where information will be withheld from one of the classes of information listed in “Section 10 – Classes of Information”. Information will only be withheld, however, where the Act (or, in the case of environmental information, the EIRs) expressly permits it.Information may be withheld, for example, where its disclosure would breach the law of confidentiality, harm an organisation’s commercial interests, or endanger the protection of the environment. Information may also be withheld if it is another person’s personal information, and its release would breach the data protection legislation. Whenever information is withheld we will inform you of this, and will set out why that information cannot be released. Even where information is withheld it will, in many cases, be possible to provide copies with the withheld information edited out. If you wish to complain about any information which has been withheld from you, please refer to “Section 8 – Contact details for enquiries, feedback and complaints”.
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Section 5: Our Charging Policy
This section explains when we may make a charge for our publications and how any charge will be calculated.
There is no charge to view information on our website, at our premises or where it can be sent to you electronically by email.
We may charge you for providing information to you, for example photocopying and postage, but we will only charge you what it actually costs us to do.
We will always tell you what the charge is and how it has been calculated before providing the information to you. We will not provide you with the information until payment has been received.
Photocopying charges are shown below:Size of paper/alternative format
Black and White Pence per sheet
Colour Pence per sheet
A4 10p 20pA3 20p 40p Information provided on CD-Rom will be charged at £1.00 per computer disc.
Postage costs may be recharged at the rate we paid to send the information to you. Our charge is for sending information by Royal Mail First Class.
When providing copies of pre-printed publications, we will charge you no more than the cost per copy of the total print run.
We do not pass on any other costs to you in relation to our published information.
Details of any individual charges which differ from the above charging policy are provided within “Section 10 – Classes of information”
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Section 6: Copyright
NHS Orkney health board holds the copyright for the vast majority of information in this Publication Scheme. All of this information can be copied or reproduced without our formal permission, provided it is copied or reproduced accurately, is not used in a misleading context, is not used for profit, and provided that the source of the material is identified.
Providing access to information does not mean that copyright has been waived, nor does it give the recipient the right to re-use information for commercial purposes. If you intend to re-use information obtained from the Scheme, and you are unsure whether you have the right to do so, please make a request to FOI Officer to re-use the information. Your request will be considered under the Re-use of Public Sector Information Regulations 2005 which may provide the right to impose a charge. In the event that a charge is payable you will be advised what this is and how it is calculated. If you require more information on the re-use of information go to www.oqps.gov.uk or contact FOI Officer.
The Publication Scheme may contain information where the copyright holder is not insert the name of your organisation. In most cases, the copyright holder will be obvious from the documents. In cases where the copyright is unclear it is the responsibility of the person accessing the information to locate and seek the permission of the copyright holder before reproducing the material or in any other way breaching the rights of the copyright holder. This includes, for example, Ordnance Survey Maps which are Crown Copyright.
Section 7: Records Management Policy
NHS Orkney health board regards its records as a major asset of the Company. It confirms that its records are one of the essential resources which support management in the efficient and effective fulfilment of its governance, business and legal responsibilities. NHS Orkney health board Records Management Policy can be found in Section 10 Classes of Information - Class 5.
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Section 8: Contact details for enquiries, feedback and complaints
The Act requires that we review our publication scheme from time to time. As we have adopted the Model Publication Scheme 2014, this means we will review our Guide to Information from time to time. As a result, we welcome feedback on how we can develop our guide further. If you would like to comment on any aspect of this Guide to Information, then please contact us.You may, for example wish to tell us about: other information that you would like to see included in the guide; whether you found the guide easy to use; whether you found the guide to information useful; whether our staff were helpful; other ways in which our guide to information can be improved.
Our aim is to make our guide to information as user-friendly as possible, and we hope that you can access all the information we publish with ease. If you do wish to complain about any aspect of the Guide then please contact us and we will try and resolve your complaint as quickly as possible. Any complaint will be acknowledged within three working days of receipt and we will respond in full within twenty working days. You have legal rights to access information under the Model Publication Scheme 2014 (as described in this Guide to Information) and a right of appeal to the Scottish Information Commissioner if you are dissatisfied with our response. These rights apply only to information requests made in writing1 or another recordable format. If you are unhappy with our responses to your request you can ask us to review it and if you are still unhappy, you can make an appeal to the Scottish Information Commissioner.
1 Verbal requests for environmental information carry similar rights
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The Commissioner’s website has a guide to this three step process, and she operates an enquiry service on Monday to Friday from 9:00am to 5:00pm.Her office can be contacted as follows:
Scottish Information CommissionerKinburn CastleDoubledykes RoadSt AndrewsFifeKY16 9DSTel: 01334 464610Email: [email protected]: www.itspublicknowledge.info/YourRights
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Request for InformationInternal Review if requester disatisfied with responseAppeal to Scottish Information Commissioner if requester still disatisfied
All enquiries, feedback and complaints relating to this Guide to Information, or any other aspect of Freedom of Information, Data Protection and the EIRs should be directed to:FOI OfficerNHS OrkneyBalfour HospitalNew Scapa RoadKirkwallOrkneyKW15 1BH
Email: [email protected] Telephone: 01856888220Website: http://www.ohb.scot.nhs.uk/
Section 9: How to Access Information which is not available in the Guide to Information
If the information you are seeking is not available through the Model Publication Scheme 2014 (as described in this Guide) then you may wish to request it from us. The Act provides you with a right of access to the information we hold, subject to certain exemptions. The EIRs separately provide a right of access to the environmental information we hold, while the Data Protection Act 1998 (DPA) provides a right of access to any personal information about you that we hold. Again, these rights are subject to certain exceptions or exemptions. Should you wish to request a copy of any information that we hold that is not available under the Model Publication Scheme 2014 (and described in this Guide), please write to:FOI OfficerNHS OrkneyBalfour Hospital New Scapa RoadKirkwallOrkney
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KW15 1BH
Email: [email protected] Telephone: 01856888220Website: http://www.ohb.scot.nhs.uk/
Charges for information which is not available under the scheme:
The charges for information which is available under NHS Orkney health board Guide to Information are set out under “Section 5 – Our Charging Policy”.If you submit a request to us for information which is not available in this Guide the charges will be based on the following calculations:General information requests: There will be no charge for information requests which cost us £100 or less to process.
Where information costs between £100 and £600 to provide you may be asked to pay 10% of the cost. That is, if you were to ask for information that cost us £600 to provide, you would be asked to pay £50 calculated on the basis of a waiver for the first £100 and 10% of the remaining £500.
We are not obliged to respond to requests which will cost us over £600 to process.
In calculating any fee, staff time will be calculated at actual cost per staff member hourly salary rate to a maximum of £15 per person per hour.
We do not charge for the time to determine whether we hold the information requested, nor for the time it takes to decide whether the information can be released. Charges may be made for locating, retrieving and providing information to you.
In the event that we decide to impose a charge we will issue you with notification of the charge (a fees notice) and how it has been calculated. You will have three months from the date of issue of the fees notice in which to decide whether to pay the charge. The information will be provided to you on payment of the charge. If you decide not to proceed with the request there will be no charge to you.
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Charges for environmental information:
Environmental information is provided under the EIRs rather than the Act. The rules for charging for environmental information are slightly different. We do not charge for the time to determine whether we hold the environmental information requested, or deciding whether the information can be released. Charges may be made for locating, retrieving and providing information to you e.g. photocopying and postage. In the event that we decide to impose a charge we will issue you with notification of the charge and how it has been calculated. The information will be provided to you on payment of the charge. If you decide not to proceed with the request there will be no charge to you.Charges are calculated on the basis of the actual cost to NHS Orkney health board of providing the information. Photocopying is charged at 10p per A4 sheet for black and white copying, 20p per A4 sheet for colour copying. Postage is charged at actual rate for Royal Mail First Class.
Staff time is calculated at actual cost per staff member hourly salary rate to a maximum of £15 per person per hour.
The first £100 worth of information will be provided to you without charge.Where information costs between £100 and £600 to provide, you will be asked to pay 10% of the cost. That is, if you were to ask for information that cost us £600 to provide, you would be asked to pay £50, calculated on the basis of a waiver for the first £100 and 10% of the remaining £500. Where it would cost more than £600 to provide the information to you, however, we will ask you to pay the full cost of providing the information, with no waiver for any portion of the cost.Charge for request for your own personal dataThe minimum cost is £10 rising to a maximum of £50 depending on the volume of information requested. Plus reproduction and postage costs (both on the same basis as for FOI requests).
Health Rights Information Scotland (HRIS) has produced a number of publications that give details of your rights in relation to NHS healthcare.
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CLASS 1: ABOUT NHS ORKNEY HEALTH BOARDClass description:Information about NHS Orkney health board, who we are, where to find us, how to contact us, how we are managed and our external relations.The information we publish under this class includes:
Description How to access it/details of any charges
About UsOrganisation’s Purpose, Mission Statement Vision & Values
Our Purpose, vision & values / mission statement describes why we are here? Where we are going & how do we deliver.
About NHS Orkney http://www.ohb.scot.nhs.uk/article.asp?page=40 Corporate themes and corporate objectives http://www.ohb.scot.nhs.uk/images/pdf/Corporate%20Themes%20and%20Corporate%20Priorities%202011-2012.pdfNHS Orkney Annual Reports http://www.ohb.scot.nhs.uk/article.asp?page=46
Contact Details Address and contact details for NHS Orkney health board headquarters and hospital.
How to contact us http://www.ohb.scot.nhs.uk/article.asp?page=66
Organisational Chart
Details the organisational structure of NHS Orkney health board.
Currently being updated
Our Board Details of Board Members and Executive Directors, and their contact details.
The Board papers can be found here.
Schedule of forthcoming Board meeting dates.
Board Members Declarations of Interest and their Register of Gifts and Hospitality.
Board Member http://www.ohb.scot.nhs.uk/article.asp?page=22 Board papers http://www.ohb.scot.nhs.uk/article.asp?page=219 Dates of all meetings per year http://www.ohb.scot.nhs.uk/article.asp?page=219 Register of interests http://www.ohb.scot.nhs.uk/article.asp?page=22 Board member expenses: Under development
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Board Members expenses are published here.http://www.ohb.scot.nhs.uk/article.asp?page=470
Directors List of NHS Orkney health board Directors including their roles and responsibilities.
http://www.ohb.scot.nhs.uk/article.asp?page=22Roles and responsibilities under development
Governance Details of NHS Orkney health board corporate governance e.g. governance policy, risk register, codes of conduct, standing orders and other governance information.
Code of corporate governance http://www.ohb.scot.nhs.uk/images/pdf/Code%20of%20Corporate%20Governance%20June%202012.pdf Board members register of interests http://www.ohb.scot.nhs.uk/article.asp?page=22Risk register included in Annual Accounts (Governance Statement) (http://www.ohb.scot.nhs.uk/article.asp?page=239 Corporate Risk Register – http://www.ohb.scot.nhs.uk/images/pdf/7.3%20a%20-%20Board%20CRRegister%20Report%20oct%202013_2.pdf
News News about NHS Orkney health board e.g. news releases, newsletters.
News releases http://www.ohb.scot.nhs.uk/news_releases.asp
Accountability and Audit Relationships
Details of bodies we are audited and/or regulated by, and the nature of our relationship with them – for example, Healthcare Environment Inspectorate (HEI), Annual Review.
Healthcare Improvement Scotland – undertake HAI and HEI inspectionshttp://www.healthcareimprovementscotland.org/welcome_to_healthcare_improvem.aspxCare Commission – carry out inspections of our Care Facilitieshttp://www.scswis.comAudit Scotland – annual reporthttp://www.audit-scotland.gov.uk
Partnership Opportunities
Information on working in partnership with NHS Orkney health board. E.g. Public consultant and engagement,
Get involved http://www.ohb.scot.nhs.uk/article.asp?page=9
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volunteering.
Partnership Agreements and Strategic Agreements with other organisations.
Details of our Partnership Agreements and any other strategic agreements we have with other bodies e.g. Memoranda of Understanding. Information Sharing Protocols[Contract information can be found in Class 6.]
Agreements with other Health Boards or other public authorities for the provision of services
Counter Fraud Services Partnership Agreementhttp://www.ohb.scot.nhs.uk/images/pdf/Partnership%20Agreement%20between%20CFS%20and%20Health%20Boards%202012-15%20-%20Final.pdfPSD Partnership Agreement http://www.ohb.scot.nhs.uk/images/pdf/PSD%20Partnership%20Agreement.pdf
How to complain or make a comment
How to complain or make a comment e.g. complaints policy, and contact details.
Complaints procedure http://www.ohb.scot.nhs.uk/article.asp?page=18
How to make a freedom of information request
How to request information, contacts details for FOI section/unit.
Freedom of information and publication scheme http://www.ohb.scot.nhs.uk/article.asp?page=13
How to make a request for personal information
How to apply your rights under the Data Protection Act 1998 and request personal information held by NHS Orkney health board about you.
http://www.ohb.scot.nhs.uk/images/pdf/NHS%20Inform_How%20to%20see%20your%20health%20records_1.pdf
Model Publication Scheme 2014
NHS Orkney health board has adopted the Scottish Information Commissioner’s Model Publication Scheme 2014.
Model publication schemehttp://www.ohb.scot.nhs.uk/article.asp?page=13&parent=5Information Commissioner MPS 2014 http://www.itspublicknowledge.info/ScottishPublicAuthorities/PublicationSchemes/PublicationSchemesModelPublicationSchemes.aspx
Guide to Information
NHS Orkney health board Guide to Information it makes available under the Model Publication Scheme 2014.
Guide to Information http://www.ohb.scot.nhs.uk/article.asp?page=13&parent=5
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CLASS 2: HOW WE DELIVER OUR FUNCTIONS AND SERVICESClass description:
Information about our work, our strategy and policies for delivering functions and services and information for our service users.The information we publish under this class includes:
Description How to access it/details of any charges
Corporate Strategy Provides a high level overview on where we are as an organisation, what we are aiming to achieve and the actions we need to take to get there. Local Delivery Plans. Corporate strategies, policies
Our Orkney, Our Health – Transforming Clinical Service http://www.ohb.scot.nhs.uk/images/pdf/Our%20Orkney,%20Our%20Health%20-%20Transforming%20Clinical%20Services.pdf Local Delivery Plans http://www.ohb.scot.nhs.uk/article.asp?page=323 Corporate documents and commitments http://www.ohb.scot.nhs.uk/article.asp?page=25
Our Services Service finder – an A to Z of the services we provide
http://www.ohb.scot.nhs.uk/article.asp?page=3
Our Hospitals Visiting times
Visiting hours can be access via the websiteAlternatively you can phone – 01856 888 000
Visiting hourshttp://www.ohb.scot.nhs.uk/article.asp?page=3&parent=3
Corporate policies and procedures.
Corporate-wide policies can found.For example, Breast Feeding Policy, Code of Corporate Governance, NHS Orkney Access Policy, Feedback-Complaints Policy and Procedure, Drug and Alcohol Policy and Procedure, Lone Working Policy and Procedure, Maternity Leave Policy, Sickness Absence Policy, Whistleblowing Policy
Corporate documents and commitments http://www.ohb.scot.nhs.uk/article.asp?page=25
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How to access our services
Information about how to locate health services. This includes: Directions and maps to hospital.Description of the services provided by Community Health and Care Partnerships Directory of Health Centres and Clinic Premises.Services which accept referral from members of the public directly include this information in the alphabetical service directory from our home page, Alternatively you can phone – 01856 888 000
Hospital services http://www.ohb.scot.nhs.uk/article.asp?page=3 Balfour Hospital informationhttp://www.ohb.scot.nhs.uk/article.asp?page=3 Orkney Health and Care http://www.ohb.scot.nhs.uk/article.asp?page=236&parent=6GP and community serviceshttp://www.ohb.scot.nhs.uk/article.asp?page=258
Direct referrals information to be updated.
Jobs at NHS Orkney health board
Our current vacancies can be found on the NHS Scotland Recruitment website*, NHS Orkney website and NHS Orkney facebook page* This is an external website NHS Orkney health board is not responsible for the content of this site.
NHS Scotland Recruitment https://jobs.scot.nhs.uk/Vacancies: http://www.ohb.scot.nhs.uk/vacancies.asp Facebook: https://www.facebook.com/nhsorkney
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CLASS 3: HOW WE TAKE DECISIONS AND WHAT WE HAVE DECIDEDClass description:Information about the decisions we take how we make decisions and how we involve others.The information we publish under this class includes:
Description How to access it/details of any charges
NHS Board meetings
Agendas and papers for past NHS Board meetings and approved minutes of Board meetings.
Board papers http://www.ohb.scot.nhs.uk/article.asp?page=219
Board standing orders for the conduct of business
Within Code of Corporate Governance Code of corporate governance http://www.ohb.scot.nhs.uk/images/pdf/Code%20of%20Corporate%20Governance%20June%202012.pdf
Schemes of delegation
Within Code of Corporate Governance Code of corporate governance http://www.ohb.scot.nhs.uk/images/pdf/Code%20of%20Corporate%20Governance%20June%202012.pdf
Public consultation and engagement strategies
Details of how we inform and engage with service users, families and key stakeholders. Details of current and previous public consultations.
Consultations http://www.ohb.scot.nhs.uk/article.asp?page=163
Reports of Regulatory Inspections
Reports of regulatory inspections, audits and investigations carried out by NHS Orkney health board
Healthcare Improvement Scotland – undertake HAI and HEI inspectionshttp://www.healthcareimprovementscotland.org/welcome_to_healthcare_improvem.aspxCare Commission – carry out inspections of our Care Facilitieshttp://www.scswis.com
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CLASS 4: WHAT WE SPEND AND HOW WE SPEND ITClass description:Information about our strategy for, and management of, financial resources (in sufficient detail to explain how we plan to spend public money and what has actually been spent).The information we publish under this class includes:
Description How to access it/details of any charges
Annual Accounts (Exchequer)
Statutory financial statementsDirectors report including Board member and senior employees’ remuneration.Governance statementIndependent auditors report
Details held within Annual Accounts http://www.ohb.scot.nhs.uk/article.asp?page=239
Annual Accounts (Endowment Funds)
Statutory financial statementsTrustees report and Statement of Trustees ResponsibilitiesIndependent Auditors Report
Details held within Endowment Fund Annual Accounts http://www.ohb.scot.nhs.uk/article.asp?page=254
Public Services Reform (Scotland) Act 2010
Public Relations ExpenditureOverseas Travel ExpenditureHospitality and Entertainment ExpenditureSupplier payments over £25,000Employees with remuneration in excess of £150,000Sustainable economic growth informationEfficiency, Effectiveness and Economy information
Public services reform Act:http://www.ohb.scot.nhs.uk/article.asp?page=389&parent=
Sustainable economic growth informationEfficiency, Effectiveness and Economy information To be updated.To be updated.
Financial Plan Revenue /Capital Financial Plan http://www.ohb.scot.nhs.uk/article.asp?page=323
Financial Polices Standing Financial InstructionsScheme of DelegationExpenses policy
NHS Orkney Code of Corporate Governance Sections E and Fhttp://www.ohb.scot.nhs.uk/images/pdf/Code%20of
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%20Corporate%20Governance%20June%202012.pdf
Financial Monitoring Reports
Overview in-year financial reportsBoard Member Expenses
Finance and performance Committee Minutes http://www.ohb.scot.nhs.uk/article.asp?page=407 Board member expenses: Under development http://www.ohb.scot.nhs.uk/article.asp?page=470
CLASS 5: HOW WE MANAGE OUR HUMAN, PHYSICAL AND INFORMATION RESOURCESClass description:Information about how we manage the human, physical and information resources of the authority.The information we publish under this class includes:
Description How to access it/details of any charges
Human ResourcesCurrent policies Human resources policies which are currently in
use including recruitment, discipline and grievance, standard of business conduct, stress, whistleblowing, volunteering, working time and policies for our staff, single equality scheme
Key Documentshttp://www.ohb.scot.nhs.uk/article.asp?page=25
Strategies Information about our key priorities including the staff governance action plan
Key Documentshttp://www.ohb.scot.nhs.uk/article.asp?page=25&parent=7
Staffing Information about our staffing establishment is published by the Information Services Division of
ISD homepage http://www.isdscotland.org/index.asp
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NHS National Services Scotland (ISD). Please note that NHS Orkney is not responsible for the content of this website.
Employee relations
Information about partnership arrangements and facilities agreements in place including area partnership forums, HR forums and staff development groups
Facilities arrangement http://www.ohb.scot.nhs.uk/article.asp?page=25&parent=7
Equality and Diversity at NHS Orkney health board
Annual report, strategy Orkney Community Planning Partnership Equality and Diversity Strategy http://www.ohb.scot.nhs.uk/images/pdf/OCPP%20Equality%20and%20Diversity%20Strategy.pdf Equality and diversity annual report http://www.ohb.scot.nhs.uk/article.asp?page=299
Registers Board member interestsGifts and hospitality
http://www.ohb.scot.nhs.uk/article.asp?page=22&parent=6
Volunteering Working with us Get involved http://www.ohb.scot.nhs.uk/article.asp?page=9&parent=4 Volunteer agreement http://www.ohb.scot.nhs.uk/images/pdf/Volunteer%20Agreement.pdf
Jobs at NHS Orkney health board
Our current vacancies can be found on the NHS Scotland Recruitment website** This is an external website NHS Orkney is not responsible for the content of this site.
NHS Scotland Recruitment https://jobs.scot.nhs.uk/Vacancies: http://www.ohb.scot.nhs.uk/vacancies.asp Facebook: https://www.facebook.com/nhsorkney
Information ResourcesRecords management
Information on records management including codes of practice, records management plan, health records policy, administrative records policy, and the removal of data from vacated properties policy.
To be updated
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Information assurance and management
Information on using, protecting and the fair processing of another person’s personal information and also information security, including the information assurance strategy, information governance standards, information asset registers, IG toolkit, fair processing notice, data protection principles, Caldicott guardian principles, and how to submit subject access requests.
Information governance strategy http://www.ohb.scot.nhs.uk/images/pdf/Information%20Governance%20Strategy%20March%202010_1.pdfHow to submit and subject access requesthttp://www.ohb.scot.nhs.uk/images/pdf/NHS%20Inform_How%20to%20see%20your%20health%20records_1.pdf Confidentiality http://www.ohb.scot.nhs.uk/images/pdf/Confidentiality_general_V4_2009.pdf Data protection principles and Caldicott Principleshttp://www.ohb.scot.nhs.uk/article.asp?page=17
Freedom of Information
Information about the freedom of information policy and how to submit a request
Freedom of Information and Publication Scheme http://www.ohb.scot.nhs.uk/images/pdf/ModelPublicationScheme2014.pdfFreedom of Information Policyhttp://www.ohb.scot.nhs.uk/article.asp?page=13&parent=5
Knowledge management
Information on the knowledge interaction implementation group including a list of projects being carried out and contact details for further information.Information on knowledge information strategy in the NHS is published by NHS Education for Scotland (NES). Please note that NHS Orkney is not responsible for the content of this site.
NES homepage http://www.nes.scot.nhs.uk/
Statistics Health information is published by the Information Services Division of NHS National Services Scotland (ISD). You can find statistical information here on cancer, child health, deaths, dental care, drugs and alcohol misuse, emergency care,
ISD homepage http://www.isdscotland.org/index.asp
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equality and diversity, eye care, finance, general practice, health and social care, health conditions, heart diseases, hospital care, maternity and births, mental health, prescribing and medicines, public health, quality indicators, healthcare audits, sexual health, stroke and waiting times. Please note that NHS Orkney is not responsible for the content of this site.
Physical ResourcesProperty or rental Property management information is published
including - Property and Asset Management Strategy
which details the property owned and occupied by NHS Orkney,
- Fire policy and procedures and annual fire safety report which detail compliance and management of fire safety
- Sustainability policy and annual report setting out objectives and actions on sustainability
PFI contractsInitial agreements, outline business cases and full business cases are published in line with Scottish Capital Investment Manual guidance.
Property strategy http://www.ohb.scot.nhs.uk/images/pdf/Draft%20NHSO%20Property%20Strategy%20October%202011.pdf Fire policy http://www.ohb.scot.nhs.uk/article.asp?page=25&parent=7 Sustainability policyTo be added.
NHS Orkney currently does not have any PFI contracts
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CLASS 6: HOW WE PROCURE GOODS AND SERVICES FROM EXTERNAL PROVIDERSClass description:Information about how we procure goods and services, and our contracts with external providersThe information we publish under this class includes:
Description How to access it/details of any charges
Procurement Policies
Standing Financial Instructions Code of corporate governancehttp://www.ohb.scot.nhs.uk/images/pdf/Code%20of%20Corporate%20Governance%20June%202012.pdf
Invitations to Tender
Invitations to tender can be found on the Public Contracts Scotland Advertising Portal** This is an external website NHS Orkney is not responsible for the content of this site.
Public Contracts Scotland http://www.publiccontractsscotland.gov.uk/
Contracts A list of contracts which have gone through formal tendering can be found at Public Contracts Scotland Advertising Portal** This is an external website NHS Orkney is not responsible for the content of this site.
Public Contracts Scotland http://www.publiccontractsscotland.gov.uk/
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CLASS 7: HOW WE ARE PERFORMINGClass description:
Information about how we perform as an organisation, and how well we deliver our functions and services.The information we publish under this class includes:
Description How to access it/details of any charges
Key Performance Indicators
Information on NHS Orkney health board key performance indicators and performance against them. This includes information such as: Local Delivery Plans HEAT Targets Access to Treatment / waiting times Delayed Discharges Infection Control reports and information Healthcare Associated Infection (HAI) reports
Within Finance and Performance minutes http://www.ohb.scot.nhs.uk/article.asp?page=407 And Quality ad Improvement Committee minuteshttp://www.ohb.scot.nhs.uk/article.asp?page=454
Audits & Inspections
Information about audits and inspections carried out by external bodies - for example, Healthcare Environment Inspectorate (HEI).
Healthcare Improvement Scotland – undertake HAI and HEI inspectionshttp://www.healthcareimprovementscotland.org/welcome_to_healthcare_improvem.aspxCare Commission – carry out inspections of our Care Facilitieshttp://www.scswis.comAudit Scotland – annual reporthttp://www.audit-scotland.gov.uk
Annual Includes information on the Annual Accountability Annual accounts
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Performance Report
Review and Annual Accounts. http://www.ohb.scot.nhs.uk/article.asp?page=239
Patient feedback Information on how to provide feedback on our services.
http://www.ohb.scot.nhs.uk/article.asp?page=12&parent=4
Complaints Complaints statistics Patient feedback annual reports http://www.ohb.scot.nhs.uk/article.asp?page=390
Scottish Public Service Ombudsman (SPSO)
Findings and our responses http://www.spso.org.uk/our-findings
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APPENDIX 6 – Publication scheme handling procedure
Publication Scheme Procedure
Policy Author: Freedom of Information Officer - Jenna Johnston
Policy Owner (for updates) Freedom of Information Officer
Version ControlVersion Number 1.0Date of Original Document 18/12/2015Last Change and Approval DateLast Review DateNext Formal Review Date December 2017
Location and Access to DocumentsLocation of master document G Drive Access to document for staff FOI blog
Post holders names at last reviewChief Executive:
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If you require this or any other NHS Orkney publication in an
alternative format (large print or computer disk for example)
or in another language, please contact the Freedom of
Information Officer
Telephone: (01856) 8220 or
email [email protected]
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1 Introduction
1.1
1.2
1.3
1.4
1.5
Under the Freedom of Information (Scotland) Act 2002 (FOISA) Scottish public authorities are required to publish information in addition to responding to requests. This requirement which is called the ‘publication scheme’ duty requires NHS Orkney to make information available to the public so that it can be accessed without being requested.
FOISA requires public authorities to: Publish the classes of information that they make routinely available. Tell the public how to access the information they publish and whether
information is available free of charge or if a fee is payable.
Authorities adopt a publication scheme which has been approved by the Scottish Information Commissioner. Information included in the Publication Scheme must be made available to the public.
NHS Orkney has adopted the Scottish Information Commissioner’s model Publication Scheme which demands a Guide to Information is also produced.
This Procedure has been developed to ensure that NHS Orkney makes information available and the Publication Scheme is updated as necessary.
2 Adopting a new Publication Scheme 2.1
2.2
2.3
2.4
The Scottish Information Commissioner provides guidance on the process to be followed by public authorities when adopting a new publication scheme:
http://www.itspublicknowledge.info/ScottishPublicAuthorities/PublicationSchemes/TheModelPublicationScheme.aspx
Although public authorities are permitted to develop bespoke publication schemes it is considered best practice to follow the Model Publication Scheme. A decision regarding the publication scheme to be adopted should be agreed with the executive manager with responsibility for Freedom of Information.
After a decision has been made to follow a Publication Scheme the Information Governance Group should be informed of the decision.
Once adopted a publication scheme will be valid for a set period of time (currently 3 years).
3 Information to be included on the Publication Scheme
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3.1
3.2
3.3
3.4
3.5
The model publication scheme provides details of the eight classes of information which should be made available in the Publication Scheme.
CLASS 1 – about the authorityInformation about the authority, who we are, where to find us, how to contact us,
how we are managed and our external relationsCLASS 2 - how we deliver our functions and services
Information about our work, our strategies and policies for delivering functions and services and information for our service users
CLASS 3 - how we take decisions and what we have decidedInformation about the decisions we take, how we make decisions and how we
involve othersCLASS 4 - what we spend and how we spend it
Information about our strategy for, and management of, financial resources (in sufficient detail to explain how we plan to spend public money and what has actually been spent)
CLASS 5 - how we manage our human, physical and information resourcesInformation about how we manage the human, physical and information resources
of the authority.CLASS 6 - how we procure goods and services from external providers
Information about how we procure goods and services and our contracts with external providers
CLASS 7 - how we are performing Information about how we perform as an organisation and how well we deliver our
functions and servicesCLASS 8 - our commercial publications
Information packaged and made available for sale on a commercial basis and sold at market value through a retail outlet e.g., bookshop, museum or research journal.
A Guide to Information must be produced which is effectively an index of the information which is held and how to access the information.
The Guide to information must set out: (i) What information is published under each class (ii) How to access the information (iii) Whether and what charges you will make for accessing the
information (iv) Contact details for advice and assistance to access information
Once complete the Publication Scheme and Guide to Information should be sent internally to the Information Governance Group and the executive in charge of FOI.
A link to the Publication Scheme and Guide to Information should then be sent to the Scottish Information Commissioner with the completed notification form.
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4 Maintaining and updating publication scheme
4.1
4.2
4.3
4.4
4.5
4.6
Much of the information contained within the Publication Scheme is routinely published on the NHS Orkney website, such as meeting minutes form Board committees. On a regular basis the links to these documents from the Guide to Information should be checked.
New information should be added to the publication scheme as it becomes available and is suitable for publication. The FOI Officer should keep track of new or updated policies and any other documents to ensure these are uploaded to the website.
If NHS Orkney is required to produce specific reports or information following new or updated legislation the FOI Officer should ensure that this is uploaded to the website and linked to the Guide to Information.
Information requested through FOI legislation may also be a useful additions to the Publication Scheme.
Members of staff should be made aware of NHS Orkney’s duties under the Publication Scheme and ensure that there is wide spread understanding that information should be made available to the public.
On an annual basis the FOI officer shall complete the Information Commissioner’s self-assessment checklist (http://www.itspublicknowledge.info/ScottishPublicAuthorities/PublicationSchemes/PublicationSchemeResources.aspx) and thoroughly check the Publication Scheme and Guide to Information to for any updates and amendments.
5 Further details:
5.1 Scottish Information CommissionerKinburn CastleSt AndrewsFifeKY16 9DS Telephone: 01334 464610, Fax: 01334 464611, e.mail: [email protected].
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APPENDIX 7 – Freedom of Request handling procedure
Freedom of Information Request handling
procedure
Policy Author: Freedom of Information Officer - Jenna Johnston
Policy Owner (for updates) Freedom of Information Officer
Version ControlVersion Number 2Date of Original Document August 2014Last Change and Approval DateLast Review Date March 2017Next Formal Review Date March 2019
Location and Access to DocumentsLocation of master document G Drive Access to document for staff FOI blog
Post holders names at last reviewFOI Officer: Jenna Johnston
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If you require this or any other NHS Orkney publication in an
alternative format (large print or computer disk for example)
or in another language, please contact the Freedom of
Information Officer
Telephone: (01856) 8220 or
email [email protected]
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Index
Page1 Introduction 42 Request received 43 Acknowledge the request 4
3.1 Name not provided within body of text 43.2 Send acknowledgement of request 5
4 Seeking clarification 45 Compiling response information 5
5.1 Check previous responses and published data 55.2 Send the request to relevant departments 6
6 Collating a response 67 Response considerations 6
7.1 Repeated requests (Section 14(2)) 67.2 Fees notice (section 9) / Applying the upper cost limit (section 12)
7
7.3 Information not held (Section 17) 77.4 Exemptions 7
8 Approval process 89 Issue Response 810 Recording Information 811 Reporting 912 Website 9
12.1 Anonymise response 912.2 Update webpage 9
13 Further information 9
APPENDICESAppendix 1 Acknowledgment of receipt template 11Appendix 2 Request for clarification from applicant template 12Appendix 3 Request response letter template 14Appendix 4 Fees notification letter template 15Appendix 5 Examples of exemption/refusal text 17Appendix 6 Full list of exemptions under the Act 20Appendix 7 Model Publication Scheme 2014 – correct at review date
– subject to changes 21
Appendix 8 Model Publication Scheme 2014 Guide to Information - correct at review date – subject to changes
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Appendix 9 FOI request handling flow chart 46
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1 Introduction
1.1
1.2
The Freedom of Information (Scotland) Act 2002 (“the Act”) came into effect on 1st January 2005. The Act gave members of the public a right to request and receive information from public authorities, unless the information is subject to an exemption.
The purpose of this procedure is to ensure that members of staff dealing with Freedom of Information (FOI) requests are well informed of the processes that should be followed to ensure compliance with the Act.
2 Request received2.1
2.2
2.3
2.4
Requests for information made under the Freedom of Information Act must: Be made in writing (email, letter or fax) Include a name and address (email or postal) Describe the information requested.
A request may be received directly to the FOI officer by email or through the post. Requests may also be received by other members of staff. As set out in the FOI policy all request should be forwarded to the FOI officer as soon as possible.
When a request is received it should be logged on the current FOI log spreadsheet as soon as possible.All relevant details for the request and applicant should be added to the spreadsheet.
A reference number and deadline date shall be generated by the spreadsheet.If a request is received through the post log the request received date as the date the letter was received by NHS Orkney; this may be several days after the date given on the letter.
3 Acknowledge the request
3.13.1.1
3.1.2
3.1.3
Name not provided within body of requestA request is not valid if the applicant’s surname is not included in the body of the FOI request.
The applicant should be informed that the request is not currently valid, although will be acknowledge and progressed, however if required the applicant would not be able to appeal to the Information Commissioner.
An example of wording to be used is provided within the file: 8 – E-mail templates.
3.23.2.1
Send acknowledgement of requestRequests for information received should be acknowledged within 3 working days of receipt.
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3.2.2
3.2.3
3.2.4
The acknowledgement of receipt should be sent by email unless the applicant has not provided an email address in which case the acknowledgement should be posted.
The request reference number; date of receipt and deadline dates should be provided on the acknowledgement.
See Appendix 1 for the acknowledgement response template.
4 Seeking clarification
4.1
4.2
4.3
4.4
4.5
4.6
4.7
If it is unclear exactly what information the applicant is requesting the applicant should be asked to provide clarification or more details.For example what time scales to cover; what groups of staff should be included.
Applicants do not have to state why they have requested the information and should not be asked this question unless important to discover what information is required.When asking for clarification bear in mind that the statutory duty is to provide advice and assistance.
Any clarification should be sought as soon as possible. This may be after discussion with members of staff with knowledge in the request area.
Once clarification is received from the applicant a new 20 working day clock is started. Asking for clarification should never be used as a delaying technique.
If after receipt of clarification the applicant has still not described the information they require to a level that would allow the information to be retrieved the request can be cancelled.
If clarification is not after 20 working days the applicant should be sent a reminder email. After 40 working days the applicant should be informed that the request has been closed.
Please see Appendix 2 for templates to be used when requesting clarification, issuing a reminder and closure. Individual clarification requests should be treated differently as some may require specific assistance.
5 Compiling response information
5.15.1.15.1.2
Check previous responses and published dataAny information collated from previous FOI responses should be consulted. Published information should also be consulted. The NHS Orkney website and the ISD website provide a vast amount of information.
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5.25.2.1
5.2.2
5.2.3
5.2.4
5.2.5
5.2.6
Send the request to relevant departments If the requested information is not published anywhere and a similar request has not been issued in the past the request should be sent to the relevant team(s) within NHS Orkney.
Discuss with a member of the executive management team if unsure which department should be involved.
Provide a clear deadline to the department(s); at least eight working days before the final deadline.
Also clearly state if the department is unable to provide any information or has any queries regarding the request they must contact the FOI officer as soon as possible.
If a response has not been received from a department a reminder should be sent. A second reminder should be sent if no response is received from the first reminder.
Copy the Director of Nursing, Midwifery and AHPs into the second reminder email.
6 Collating a response
6.1
6.2
6.3
Following receipt of information from all relevant departments a response should be drafted following the template. (Please see Appendix 3).
Always ensure that the correct contact details, reference number, title and dates are entered on the response.
Add the relevant information into the ‘Response’ section of the template. The response must always provide details of how the applicant should apply for an internal review if required.
7 Response considerations
7.1 When compiling a response refer to notes in Appendix 5 for text which can be adapted for specific requests. The full range of exemptions are listed in Appendix 6, NHS Orkney will use few of these exemptions on a regular basis.
7.27.2.1
Repeated requests (Section 14(2))Under section 14(2) of the Act a request for information does not have to be completed if the same request has been received from the same applicant and the information was released. If the information has significantly changed or a reasonable time period has elapsed the information should be released.
7.27.2.1
Fees notice (section 9) / Applying the upper cost limit (section 12)The majority of responses released by NHS Orkney will be provided free of
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7.2.2
7.2.3
7.2.4
7.2.5
7.2.6
7.2.7
7.2.8
charge. However, as per the fees regulations set out by the Scottish Executive a charge can be made when providing information which has been calculated to cost between £100 and £600.
A charge cannot be made for time taken to establish whether or not information is held. Charges can be made for time spent locating, retrieving and providing the information.
Staff time can be charged to a maximum of £15 per hour, photocopying, etc charging rates are provided in the Publication Scheme (Appendix 7).
The first £100 of the calculated cost cannot be charged for, 10% of this charge can then be passed onto the applicant.
If responding to the applicant requesting a payment. The requestor must be sent a fees notification (see appendix 4) which informs the applicant of the breakdown of how the fee was calculated.
For example.
Staff time cost 10 hours x £15 £ 150.00Photocopying 50 B&W A4 sheets x 10p £ 5.00Subtotal £ 155.00LESS first £100 £ 55.00Total chargeable amount (10%) £ 5.50
If a fees notice is issued the 20 working days deadline is paused. The same clock continues once payment is received.
If the estimated cost to provide information is above £600 under section 12 of the Act the requestor should be informed that the information does not have to be issued. See Appendix 5 for example wording.
7.37.3.1
7.3.2
7.3.3
Information not held (Section 17)If the requested information is not held by NHS Orkney the applicant must be informed that under Section 17the information is not held.
If another public authority holds the information the applicant should be informed of the public authorities contact details. Before responding to the applicant the other public body should first be consulted to verify if they do hold the required information.
All relevant available information sources should be checked before stating that NHS Orkney does not hold the requested information.
7.47.4.1
7.4.2
ExemptionsExemptions can be applied in a range of circumstances. Please see appendix 6 for a comprehensive list of exemptions.
Exemptions may be absolute or non-absolute. If an exemption is considered
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7.4.3
7.4.4
non-absolute a public interest test should be considered (see the Scottish Information Commissioner’s website for further details).
If it has been decided an exemption should be used on part or all of a response the applicant must be informed which exemption has been taken and why it has been taken.
The response template (Appendix 3) should be used to provide the applicant details of which exemption has been take and if relevant why.
8 Approval process
8.1
8.2
8.3
Once a response has been collated it should be approved by two members of the executive management team before it is issued.
The response must also be sent to the Grampian Communications department (email contact [email protected] ).
If approval is not given make necessary amendments based on comments and re-send amended response.
9 Issue response
9.1
9.2
9.3
Once approved the response can be issued to the applicant. A few points should be considered before issue:
Applicants can request information in specified format such as Excel or word. When issuing a response always check very carefully that no personal identifiable information has been left in the response.
If redacted documents are being provided extreme care should be taken to ensure that the method of redaction cannot be amended after issue.
Password protection is very useful for excel spreadsheets, to prevent changes being made following issue.
All documents should be in ‘Read Only’ format before issue.
It is also important if the twenty days deadline has passed always provide an apology with the response.
10 Recording information
10.1 It is very important to collect correct information relating to each request.
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10.2
10.3
10.4
For performance reporting, management and audit purposed as much information as possible should be collected for every request.
Details of any exemptions used, date reply was sent, information providers and approving managers should be recorded within the main spreadsheet tab.
Information on exemptions used and data not held should be collected within the spreadsheet.
Details on file naming conventions etc can be found in the FOI procedure follow chart (Appendix 9).
11 Reporting
11.1
11.2
Monthly reports on performance management must be sent to the Information Governance Committee. An annual report providing greater detail should be completed for the Information Governance Committee.
External reporting on a quarterly basis must be sent the Information Commissioner’s Office (website login page).
12 Website
12.1 On a regular basis the log of disclosure should be updated to provide a copy of all FOI requests issued. This requires a few steps.
12.2
12.2.1
Anonymise response
Remove the address/contact details and all of the text from the foot of the page. Inspect the document (prepare – inspect- review the necessary aspects)Save the document as a PDF. The title of the document should be “FOI Reference Number DDMMYYYY”.
12.3
12.3.1
12.3.2
Update webpage
Log in to the NHS Orkney website admin pageUpdate the FOI table with basis details of the reference number and request title on the FOI webpage.
Upload PDF files. Attach these PDF files to the relevant FOI entry in the table.
13 Further details:13.1 Scottish Information Commissioner
Kinburn CastleSt AndrewsFifeKY16 9DS
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13.2
Telephone: 01334 464610, Fax: 01334 464611, e.mail: [email protected].
FOISA legislation - http://www.itspublicknowledge.info/Law/FOISA.aspx
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