Freedom of Information Draft Government Freedom of Information Draft Government Wide Implementation PlanWide Implementation Plan

Carole Excell, FOI CoordinatorCarole Excell, FOI Coordinator

& Mike Johnston, Project Manager & Mike Johnston, Project Manager

28 September 200728 September 2007

ObjectiveObjective Present the draft Government wide Present the draft Government wide

implementation plan implementation plan Outline the strategies for success as Outline the strategies for success as

determined by the Freedom of Information determined by the Freedom of Information Steering CommitteeSteering Committee

Highlight key milestones and reporting Highlight key milestones and reporting requirementsrequirements

StrategiesStrategies Implementation PlanningImplementation Planning Information TechnologyInformation Technology Communications and Public ParticipationCommunications and Public Participation Training and Records ManagementTraining and Records Management Comprehensive Regulatory and policy Comprehensive Regulatory and policy

FrameworkFramework General strategies to be adopted by all General strategies to be adopted by all

public authoritiespublic authorities

Implementation planningImplementation planning Prepare FOI government wide Prepare FOI government wide

implementation plan and obtain implementation plan and obtain comments from public and private comments from public and private sectors – to FOI Unit by sectors – to FOI Unit by 31 Oct 0731 Oct 07

Plan approved by cabinet & publishedPlan approved by cabinet & published Track progress of milestonesTrack progress of milestones Report to Cabinet on organisations Report to Cabinet on organisations

achievement of outputs and achievement of outputs and compliance with milestones under the compliance with milestones under the planplan

Baseline Assessment & Model Baseline Assessment & Model action plan templateaction plan template

Provide all public authorities with baseline Provide all public authorities with baseline assessment questionnaire to evaluate their assessment questionnaire to evaluate their starting pointstarting point

Conduct analysis of results once returned Conduct analysis of results once returned Distribute a model action plan template Distribute a model action plan template Outline major reporting functionsOutline major reporting functions Outline a deadline to complete action planOutline a deadline to complete action plan Provide advice and support during the Provide advice and support during the

planning processplanning process

Public Authority costsPublic Authority costs StaffingStaffing

Appoint an Information ManagerAppoint an Information Manager• as early as possibleas early as possible• encouraged to appoint current staffencouraged to appoint current staff

Model JD for Information Manager is availableModel JD for Information Manager is available Records survey & file planRecords survey & file plan

Critical to identify Records Officers to do Critical to identify Records Officers to do these tasksthese tasks

Equipment purchasesEquipment purchases Office furniture, photocopiers etc Office furniture, photocopiers etc

Communications and public Communications and public participation strategyparticipation strategy

We need to engage civil servants in We need to engage civil servants in the process of implementation the process of implementation (agents of change)(agents of change)

A process of culture change will be A process of culture change will be neededneeded

Public participation is needed in Public participation is needed in implementation to ensure buy-in implementation to ensure buy-in and use of the lawand use of the law

Communications and public Communications and public participation strategyparticipation strategy

Sensitisation sessionsSensitisation sessions Round table discussions and forumsRound table discussions and forums Newsletters, brochuresNewsletters, brochures Incentive and merit programsIncentive and merit programs Specific events to focus public attention on Specific events to focus public attention on

FOI e.g. Sunshine week etc.FOI e.g. Sunshine week etc. Formation of a civil society advisory groupFormation of a civil society advisory group Simple messages about FOI and its core Simple messages about FOI and its core

valuesvalues

IT strategyIT strategy Create a Create a centralised monitoring and centralised monitoring and

tracking systemtracking system for requests for requests - from FOI Unit budget - from FOI Unit budget

Up-gradeUp-grade www.gov.kywww.gov.ky websitewebsite for all for all public authorities to proactively provide public authorities to proactively provide information in electronic form to the publicinformation in electronic form to the public- minimum information needed on website - minimum information needed on website by 1 January 2009by 1 January 2009

IT strategyIT strategy

GIS Content writer to ensure standard GIS Content writer to ensure standard content on content on www.gov.kywww.gov.ky website for each website for each public authoritypublic authority

Provision of FOI e-mail addresses for all Provision of FOI e-mail addresses for all public authoritiespublic authorities

Upgrade of FOI website to provide Upgrade of FOI website to provide information for the public and practitionersinformation for the public and practitionerswww.foi.gov.kywww.foi.gov.ky

Training and records management Training and records management strategystrategy

Guidance manual will be provided for Guidance manual will be provided for Information ManagersInformation Managers

Training Groups identified:-Training Groups identified:- Chief Officers, CEO principal officers of Chief Officers, CEO principal officers of

statutory authoritiesstatutory authorities Heads of Department by Portfolio/MinistryHeads of Department by Portfolio/Ministry Information Managers and Records Information Managers and Records

OfficersOfficers Customer-facing staffCustomer-facing staff General Civil ServiceGeneral Civil Service

Content of sessions will be tailored to Content of sessions will be tailored to the needs of each group.the needs of each group.

Training and records Training and records management strategymanagement strategy

Stage OneStage One (September 2007) briefing (September 2007) briefing for all chief officers, heads of for all chief officers, heads of statutory authorities and government statutory authorities and government companiescompanies

Stage TwoStage Two (October 2007) briefing of (October 2007) briefing of heads of Department by Ministry/ heads of Department by Ministry/ Portfolio alongside person designated Portfolio alongside person designated to complete action plan, preferably to complete action plan, preferably Information ManagerInformation Manager

Training and records Training and records management strategymanagement strategy

Stage ThreeStage Three ( November 2007 – April ( November 2007 – April 2008) sensitization presentation by FOI 2008) sensitization presentation by FOI unit or Information Manager to raise unit or Information Manager to raise awareness. Targeted at a universal awareness. Targeted at a universal audience. audience. PowerPoint presentation and discussionPowerPoint presentation and discussion Aim:Aim: provide a broad awareness of the FOI provide a broad awareness of the FOI

Law, who to refer persons to and Frequently Law, who to refer persons to and Frequently Asked Questions.Asked Questions.

Training and records Training and records management strategymanagement strategy

Stage FourStage Four (April & May 2008) - a (April & May 2008) - a three day course for Information three day course for Information Managers and Records Officers. Managers and Records Officers. Repeated in September & October 2008Repeated in September & October 2008 Followed by short specialist seminars. Followed by short specialist seminars.

Specialists course may be prepared Specialists course may be prepared on detailed topics to include on detailed topics to include exemptions & complaint exemptions & complaint investigations.investigations.

Regulatory FrameworkRegulatory Framework

Prioritize development of FOI Prioritize development of FOI Regulations by FOI Unit & assisted by Regulations by FOI Unit & assisted by Legal DepartmentLegal Department

Review legislation inconsistent with Review legislation inconsistent with FOI to align with principles of FOIFOI to align with principles of FOI

Utilise voluntary prescribed forms Utilise voluntary prescribed forms

Pro-active Disclosure of Pro-active Disclosure of InformationInformation

Start now on Publication Schemes Start now on Publication Schemes

A genuinely open and active information policy: A genuinely open and active information policy: does not just sit back and wait for requests for information does not just sit back and wait for requests for information

to come in, but looks actively at how people can be offered to come in, but looks actively at how people can be offered informationinformation

This could include altering the format of This could include altering the format of written work (minutes, submissions, reports written work (minutes, submissions, reports etc) in order to facilitate the pro-active etc) in order to facilitate the pro-active disclosure of information as a matter of disclosure of information as a matter of course.course.

Promotion of a cultural changePromotion of a cultural change Commitment at a senior level within organisations Commitment at a senior level within organisations

will be very important in achieving change. will be very important in achieving change.

Requires a change of thinking Requires a change of thinking - instead of everything being considered secret - instead of everything being considered secret unless otherwise stated, information is to be unless otherwise stated, information is to be regarded as open to the public unless it falls within regarded as open to the public unless it falls within an exemptionan exemption

An implementation coordinatorAn implementation coordinatorto promote change is essential – to promote change is essential – i.e. thei.e. the Information ManagerInformation Manager

Centralized support from the Centralized support from the FOI UnitFOI Unit

Dedicated and specialised unit Dedicated and specialised unit providing leadership and supportproviding leadership and support

Functions:-Functions:- Co-ordinationCo-ordination of implementation of implementation TrainingTraining of FOI Practitioners of FOI Practitioners RespondingResponding to agencies questions to agencies questions MonitoringMonitoring and and ReportingReporting SustainabilitySustainability of implementation of implementation Limited Limited public educationpublic education role role

Set defined TimelinesSet defined Timelines

All Public Authorities need to make All Public Authorities need to make full use of time till January 2009full use of time till January 2009

The timetable - change in culture - The timetable - change in culture - legal rights are delivered in practice.legal rights are delivered in practice.

Public Authorities will have to put Public Authorities will have to put structures in place in order to plan for structures in place in order to plan for implementation of the Act in the short implementation of the Act in the short term and to ensure compliance with term and to ensure compliance with the Act in the longer termthe Act in the longer term

FOI Implementation PlanFOI Implementation Plan- - to successfully implement the to successfully implement the FOI Law in the next 15 months FOI Law in the next 15 months- implementation to achieve - implementation to achieve compliance over the long term compliance over the long term

Presentation FormatPresentation Format

Implementation planning structureImplementation planning structure Implementation – phases & Implementation – phases &

timelinestimelinesReporting milestonesReporting milestonesChief accountabilitiesChief accountabilities Immediate ‘must do’ requirementsImmediate ‘must do’ requirements

Implementation Planning StructureImplementation Planning Structure

Cabinet Secretary

IT Legal

FOI Steering Committee(FOISC)

ImplementationPlanning

Training & Records

Management

Public Participation &

Communications

FOI UnitAll Ministries & Portfolios

& some statutory

authorities represented

Implementation Work PlanImplementation Work PlanMaking profitable use of the next 15 monthsMaking profitable use of the next 15 months

Detailed Detailed work planwork plan with allocated tasks with allocated tasks MonitoringMonitoring of progress through of progress through reportsreports from: from:

FOISC sub-committees: FOISC sub-committees: IT; Planning; Training & RM: Legal; Public ParticipationIT; Planning; Training & RM: Legal; Public Participation

Public Authorities and Ministries/PortfoliosPublic Authorities and Ministries/Portfolios FOI Unit & CINAFOI Unit & CINA

Quarterly FOISC ReportsQuarterly FOISC Reports to Cabinet to Cabinet

Implementation - phasesImplementation - phases

20072007 20082008

20092009Planning

Training

Roll Out

Test

•Briefings & consultation•Baseline assessment•Model Action plan•Define Special Requirements•Appoint FOI staff

- General staff sensitisation - Train Info Managers (& Records staff)

- Train customer-facing staff- IT training

Resource/regulatory development

•IT – tracking, web, e-publication scheme•Prepare Guidance manual & training material•Develop FOI Regulations

•Complete Publication Schemes•Complete records survey•Action Special Requirements•Implement IT solutions

Quality test:•Documentation•Processes•Systems

You are here

15 months later

Timeline/milestones for Public AuthoritiesTimeline/milestones for Public Authorities

COs brief Identify IMs & project team Briefings for HoDs & IMs General staff sensitisation Complete Baseline Assessment Complete Action Plans &

confirm Special Requirements Latest date to confirm Info Managers FOI training for Information Managers CS IT training on FOI systems

Roll-out (Publication Scheme, IT & processes)

Complete Records Survey Test FOI processes & systems

2007 2008

22-31 Oct 07

19 Oct 07

14 Dec 07

1 Nov – 4 Apr 08

12 Jan 08

28 Sep 07

29 Feb 08

7 Apr–30 May 08

Aug-Sep 08

30 Oct 08

5-30 Nov 08

1 June

18 Aug 08

Reporting Requirements: Reporting Requirements: FOISC Quarterly Reports to Cab SecFOISC Quarterly Reports to Cab Sec

COs brief Identify IMs & project team Briefings for HoDs & IMs General staff sensitisation Complete Baseline Assessment Complete Action Plans &

confirm Special Requirements Latest date to confirm Info Managers FOI training for Information Managers CS IT training on FOI systems Roll-out (Publication Scheme, IT, processes)

Complete Records Survey Test FOI processes & systems

2007 2008

22-31 Oct 07

19 Oct 07

14 Dec 07

1 Nov – 4 Apr 08

12 Jan 08

28 Sep 07

18 Aug 08

29 Feb 08

7 Apr–30 May 08

Aug-Sep 08

30 Oct

5-30 Nov 08

1 June

Dec 07

Mar 08

June 08

Sept 08 Dec 08

Progress Reporting RequirementsProgress Reporting Requirements

ActivityActivity Reporting Reporting EntityEntity

Report Report datedate

Heads of Public Authority attend briefingHeads of Public Authority attend briefing FOI UnitFOI Unit 31 Oct 0731 Oct 07

Designate IM/FOI Project leaderDesignate IM/FOI Project leader Ministry/Pub AuthMinistry/Pub Auth 31 Oct 0731 Oct 07

Baseline Assessment submitted to FOI UnitBaseline Assessment submitted to FOI Unit Ministry/Pub AuthMinistry/Pub Auth 14 Dec 0714 Dec 07

Quarterly Report to FOIISC & CabinetQuarterly Report to FOIISC & Cabinet FOI UnitFOI Unit 21 Dec 0721 Dec 07

Public Authority Action Plan completedPublic Authority Action Plan completed Ministry/Pub AuthMinistry/Pub Auth 12 Jan 0812 Jan 08

Public Auth Confirm Special RequirementsPublic Auth Confirm Special Requirements Ministry/Pub AuthMinistry/Pub Auth 12 Jan 0812 Jan 08

Pub Auth confirms Information ManagersPub Auth confirms Information Managers Ministry/Pub AuthMinistry/Pub Auth 29 Feb 0829 Feb 08

Quarterly Report to FOIISC & CabinetQuarterly Report to FOIISC & Cabinet FOI UnitFOI Unit 20 Mar 0820 Mar 08

Information Managers complete trainingInformation Managers complete training FOI UnitFOI Unit 30 May 0830 May 08

Number of Records Management staff trainedNumber of Records Management staff trained CINACINA 30 May 0830 May 08

Quarterly Report to FOIISC & CabinetQuarterly Report to FOIISC & Cabinet FOI UnitFOI Unit 19 June 0819 June 08

Pub Auth complete Records SurveyPub Auth complete Records Survey Ministry/Pub AuthMinistry/Pub Auth 18 Aug 0818 Aug 08

Number of Records Management staff trainedNumber of Records Management staff trained CINACINA 1 Sept 081 Sept 08

Quarterly Report to FOIISC & CabinetQuarterly Report to FOIISC & Cabinet FOI UnitFOI Unit 18 Sep 0818 Sep 08

Complete provisional Publication SchemeComplete provisional Publication Scheme Public AuthorityPublic Authority 27 Oct 0827 Oct 08

Test systems & processes and advise issuesTest systems & processes and advise issues Public AuthorityPublic Authority 4-28 Nov 084-28 Nov 08

Quarterly Report to FOIISC & CabinetQuarterly Report to FOIISC & Cabinet FOI UnitFOI Unit 18 Dec 0818 Dec 08

Chief Accountabilities Chief Accountabilities (& r(& readiness indicators)eadiness indicators)

You will be ready when your:You will be ready when your: Information ManagersInformation Managers are trained & are trained & project project

teamteam has implemented the action plan has implemented the action plan Records surveyRecords survey (as a minimum) is complete (as a minimum) is complete

(including trained Records Officers)(including trained Records Officers) FOI processes are working & tested:FOI processes are working & tested:

FOI FOI request tracking systemrequest tracking system functional functional Publication SchemePublication Scheme written & available written & available Website functionalWebsite functional (where applicable) (where applicable)

Immediate ‘must do’ requirements Immediate ‘must do’ requirements for Public Authoritiesfor Public Authorities

Identify Information ManagersIdentify Information Managers& project team & project team 19 Oct 0719 Oct 07

Head of Pub Auth & InformationHead of Pub Auth & InformationManager attend their FOI briefing Manager attend their FOI briefing 22-31 Oct 0722-31 Oct 07

Complete Baseline Assessments Complete Baseline Assessments & submit to FOI Unit & submit to FOI Unit 14 Dec 0714 Dec 07

Complete Action PlansComplete Action Plans& identify Special Requirements & identify Special Requirements 12 Jan 0812 Jan 08

Confirm Information Managers Confirm Information Managers & enroll them for training & enroll them for training 29 Feb 0829 Feb 08

Thank youThank you

FormatFormat

Baseline AssessmentBaseline Assessment

Model Action PlanModel Action Plan

Information Manager JDInformation Manager JD

Electronic templates are availableElectronic templates are available

Baseline AssessmentBaseline Assessment- Designed as a basis for Public Authority Action PlansDesigned as a basis for Public Authority Action Plans- Responses need to cover the entire organisationResponses need to cover the entire organisation- Best completed involving your Information Manager designate. May Best completed involving your Information Manager designate. May

need specialist input (e.g. IT support staff) need specialist input (e.g. IT support staff) - Needs to be returned to FOI unit by 14 Dec 07Needs to be returned to FOI unit by 14 Dec 07

SECTIONSSECTIONS

Q1Q1 General InformationGeneral Information Q2Q2 FOI AwarenessFOI Awareness Q3Q3 Records ManagementRecords Management Q4Q4 Staff resourcesStaff resources Q5Q5 Provision of information & proactive publicationProvision of information & proactive publication Q6Q6 Identifying special FOI requirementsIdentifying special FOI requirements Q7Q7 IT readinessIT readiness

Model Action Plan for Public AuthoritiesModel Action Plan for Public Authorities Designed: Designed:

to highlight critical action pointsto highlight critical action points for Public Authorities to adapt for their own usefor Public Authorities to adapt for their own use with explanatory notes & deadlines includedwith explanatory notes & deadlines included

Sections:Sections: Background to the FOI LawBackground to the FOI Law Strategic Guidelines (for Ministry/Portfolio coordination)Strategic Guidelines (for Ministry/Portfolio coordination) Staffing & planningStaffing & planning Training & sensitisationTraining & sensitisation Information & Records ManagementInformation & Records Management Systems & ProceduresSystems & Procedures BudgetingBudgeting InfrastructureInfrastructure Progress reportingProgress reporting Approval & delegationsApproval & delegations

Model Action Plan layoutModel Action Plan layout 1.Introduction

2. Background

1.Introduction 2. Background

3. Strategic Guidelines

3. Strategic Guidelines

4. Scope5. Staffing & planning

4. Scope5. Staffing & planning

6. Training sensitisation6. Training sensitisation

7. Information & records management

7. Information & records management

8. Systems & procedures8. Systems & procedures

9. Budgeting9. Budgeting

10. Infrastructure10. Infrastructure

11. Progress reporting11. Progress reporting

12. Approval & delegations

12. Approval & delegations

Public Authorities

Ministries,

Portfo

lios

&

head offices

Model Action Plan – representative segmentsModel Action Plan – representative segments

Strategic Guidelines (Ministry/Portfolio)Strategic Guidelines (Ministry/Portfolio)Leadership & policyLeadership & policyObjective:Objective: Ensure the Ministry of ………. has the leadership in place & oversight to Ensure the Ministry of ………. has the leadership in place & oversight to

coordinate preparation for successful implementation of the FOI Law.coordinate preparation for successful implementation of the FOI Law.

ActivityActivity ResponsibilityResponsibility TimeframeTimeframe Staffing, actions & Staffing, actions & resourcingresourcing

Appoint Ministry FOI coordinatorAppoint Ministry FOI coordinator 19 Oct 0719 Oct 07

Appoint a project teamAppoint a project team

Identify pooling of staffIdentify pooling of staff

Coordinate departmental action plans Coordinate departmental action plans 12 Jan 0812 Jan 08

Public Authority SectionPublic Authority SectionStaff & planningStaff & planningObjective:Objective: Ensure the Public Authority ………. has the leadership, resourcing & Ensure the Public Authority ………. has the leadership, resourcing &

planning in place to prepare for successful implementation of the FOI Law.planning in place to prepare for successful implementation of the FOI Law.

ActivityActivity ResponsibilityResponsibility TimeframeTimeframe Staffing, actions & Staffing, actions & resourcingresourcing

Appoint Information ManagerAppoint Information Manager 19 Oct 0719 Oct 07

Appoint Project Team & LeaderAppoint Project Team & Leader

Complete Baseline AssessmentComplete Baseline Assessment 14 Dec 0714 Dec 07

Information Manager JDInformation Manager JD You have been provided with:You have been provided with:

Task listTask list:: based on FOI Law & RM requirements based on FOI Law & RM requirements‘shopping basket’ of tasks that must be allocated to staff‘shopping basket’ of tasks that must be allocated to staff

Generic JD:Generic JD: if you choose to have a dedicated if you choose to have a dedicated Information Manager at department levelInformation Manager at department level

Considerations:Considerations: Some adjustment of principle accountabilities is Some adjustment of principle accountabilities is

most likely i.e. added, removed, allocate – most likely i.e. added, removed, allocate – depends on your organisation & existing rolesdepends on your organisation & existing roles

Grading will depend on the decisions you makeGrading will depend on the decisions you make

Thank you for participating