The Freedom of Information Act 2000 creates significant new rights of access to recorded information held by public authorities in England, Wales and Northern Ireland. It is a major step forwards in terms of openness and accountability, and successful and enthusiastic implementation of the Act will enable organisations to serve their customers, stakeholders, and the wider public more effectively, and to build increasing levels of trust in the way that they carry out their responsibilities. The Freedom of Information Act is a significant opportunity to embed lasting improvements both in the way that public authorities work, and in the way that they interact with the people that they serve.
The Freedom of Information Act creates two general rights in relation to information. One, the right to be told whether or not the information requested is held, and two, the right to be given that information within 20 working days. Where exemptions apply, (except where the exemption is absolute), the duty to inform the applicant whether the information is held and to communicate that information remains unless the public interest in maintaining that exemption outweighs the public interest in disclosure.
There is also a duty on all public authorities to adopt and maintain a publication scheme that details the classes of information it will regularly publish. This publication scheme must be approved by the Information Commissioner , whose office was created by the Act and who has wide powers to enforce the rights contained in the Act. The Act also created the Information Tribunal, which is the first stage of appeal against decisions of the Information Commissioner.
Certain sections of the Act, primarily relating to the office of the Information Commissioner and the introduction of publication schemes, are already in force for many public authorities. The general right of access does not come into force until January 2005.
Although the Act does not come fully into force until January 2005, it must be recognised that it will take time to successfully prepare for implementation. The Act represents a major shift in the way that public authorities have to deal with requests for information, and it will bring about a significant change to the culture of dealing with such requests, and handling information generally.
The DCA recognises that all public authorities have significant amounts of work to do to ensure that they are properly prepared for the implementation of the Act in January 2005. To assist with this preparatory work, the DCA has designed a Model Action Plan (MAP) which sets out the steps to be taken by public authorities to ensure that they are ready for implementation.
Compliance with this MAP is not compulsory. It is intended as a tool to disseminate ideas and best practice, and to assist public authorities in creating a structured path towards being prepared for the full implementation of the Act. Many of the steps set out in this MAP are based on lessons learned from overseas jurisdictions which have implemented FOI legislation that is similar to our own. Following the steps set out in the MAP should help to ensure that from 1 January 2005 your organisation is ready to handle requests for information in compliance with the Act. It will also help prepare your organisation to meet the best practice standards set out in the Lord Chancellor's Code of Practice on the Discharge of Public Authorities' Functions Under Part 1 of the Freedom of Information Act 2000, issued under section 45 of the Act (the section 45 Code of Practice).
This Model Action Plan is designed for use by all public authorities that are subject to the Freedom of Information Act 2000.
The MAP is not designed to be a detailed implementation plan. It is recognised that each public authority is different, and that each has its own particular organisational structure and needs. A general document such as this cannot address these specific needs, nor can it be applied to unique organisational structures, and it is not intended to be used in this way.
Following this MAP is not compulsory, and it is intended neither to be prescriptive nor exhaustive. While following the steps suggested in the Model Action Plan will go a long way to preparing your authority for the implementation of the Act, there may be things that your authority needs to do to prepare that are not included in the MAP. Similarly, smaller authorities may find that following all the steps in the MAP is unnecessarily restrictive, and that the document becomes unwieldy when applied to them. In cases like these, your authority should decide which steps it wishes to implement, which it doesn't, and whether any additional steps are required.
The MAP is designed to give general guidance on the sorts of actions that authorities should undertake to prepare for implementation of the Act, and provides a coherent, structured path to effective readiness for the implementation of the Act.
This MAP should be read in conjunction with two other documents. The first is the section 45 Code of Practice and the second is the Model Action Plan for achieving compliance with the Lord Chancellor's Code of Practice on the management of records (the 'section 46' Code of Practice), produced by the National Archives. The National Archives have produced a number of different records management MAPs for different types of public authority, and they are all available from their website.
The National Archives MAPs are specifically tailored to achieving compliance with the section 46 Guidance. Where this MAP refers to records management MAPs, it is expected that you will consult the appropriate records management MAP for your type of authority.
Set out below are the five broad strategic objectives that your organisation should target in order to prepare successfully for the implementation of the Act. There are specific actions tied to each of these that build towards the achievement of the objective.
None of these specific actions exists in isolation. For example, action S1 has consequences for the actions under Objective 2 (training and awareness). You will need to bear this in mind in your planning.
Preparing for the implementation of the Act could be viewed simply as a business change project, and can be run on established principles like any other project. However, to view Freedom of Information in this way is to underestimate the benefits that it can bring, and the significance of the culture change that it will engender. The purpose of this MAP is to establishing a minimum level of readiness for the implementation of the Act, and it is recognised that a change in culture from 'need to know' to 'right to know' is something that will take longer, and will grow and develop over time.
The Summary of the Action Plan contains suggested time-scales for completion of the various actions in the plan. This is not intended to be a compulsory timetable and it merely serves as a guide. You may find that your authority starts some of the actions later than suggested, and you may start some earlier, some may overrun, and some may be completed earlier than anticipated. Ultimately, it is for your organisation to set its own timetable to prepare itself for the implementation of the Act in January 2005.
| To ensure that your authority has the necessary leadership in place to co-ordinate its preparation policy and to deliver the level of commitment required to be ready for the implementation of the Act. |
L1 - Appoint an Information Champion
Experience from abroad has shown that the single most important component of a successful Freedom of Information regime is wholehearted commitment at a senior level of your organisation.
Without such support, your authority's staff may view FOI as an issue of compliance.
With such support, real cultural change can be achieved, implementation becomes easier, and your organisation can reap the benefits of a well-run information regime.
The most effective way to demonstrate that your organisation is committed to preparing for FOI implementation at a senior level is to appoint someone at board level (preferably the Chief Executive or equivalent) as your organisation's Information Champion.
The Information Champion acts as the leader on all information issues in your organisation, and plays a key role in all FOI projects. The appointment of an Information Champion is the clearest possible signal to your authority that handling information properly, and under the auspices of the Act, is a core aspect of all the work you do.
L2 - Appoint a project team
With the support and leadership of your Information Champion, appoint a team to run a project to prepare your authority for the implementation of the Act.
Your Information Champion should take the role of senior owner of the project, and be ultimately accountable for its success, but will not have to play any part in the day to day running of the project.
Responsibility for the day to day running of the preparation project will fall to the person who is appointed as project manager, and to the team of people who will form your authority's project team. The size of this team, and the amount of their time that is spent working on the project, will depend on the size of your authority. Larger authorities may consider appointing a large, full time project team, whereas smaller authorities may only need two or three people working part of their time to run the project. Given the fact that no additional funding is available for compliance with the Act, careful consideration must be given to balancing resources to ensure that your project team can work successfully.
Inevitably, the project team will develop expertise in Freedom of Information issues, and consideration should be given to using this expertise as a point of reference both pre-implementation, and once the implementation project is complete and the Act has come into force.
L3 - Assess your preparedness
It is recognised that different authorities will be at different stages on the road to being prepared for FOI implementation. Your project team should undertake an assessment of your authority's level of readiness, and tailor its preparation accordingly.
L4 - Draw up a tailored project plan for your organisation
Your authority's project should be run on recognised project management principles. The first step of the project preparing your authority for FOI implementation will be to draw up a bespoke project plan. The plan should identify important milestones towards effective preparation for FOI implementation, and set out the dates by when they need to be achieved. The plan should be available to all staff, and you should make sure that all staff are aware of the plan and the role they have in successfully completing the project.
L5 - Review and evaluate
Your project plan should include, as the final stage, an evaluation of its success at its conclusion. Has the project achieved its aims to time, quality and resource specifications? Has any outstanding work been noted and allocated to those who will take it forward? Is your organisation as prepared as it can be for the implementation of the Act? Have the lessons learned been captured and fed back into the organisation? Have the benefits of the project been realised?
| To ensure that your staff are trained to an appropriate level to respond to requests for information, and that all your staff are aware of their responsibilities and obligations before and after implementation of the Act. |
T1 - Develop an internal communications strategy to ensure that all staff are aware of the Act.
As well as a project plan, you should draw up an internal communications strategy for your authority. This should ensure that all staff are aware of the Act, are able to assess the action that they need to take when they receive a request for information after 1 January 2005, can understand how their work will be affected by the Act, and know where to ask for help if necessary.
Awareness raising should include reminding people of their responsibilities to maintain good standards of records management, and create an understanding across your authority that all the work it does may one day be subject to public scrutiny. It should also make staff aware that all recorded information is subject to release under the Act, and should ensure that they are mindful of this whenever they record information.
T2 - Analyse training needs and draw up and implement a training plan
As part of assessing your authority's state of preparedness for the implementation of the Act, you should assess what its training needs are, and draw up and implement a training plan.
The plan should contain an overview of action you will take to meet training needs and ensure that appropriate levels of training are provided to all staff prior to January 2005. It should also ensure that the training is kept up to date after the Act is implemented.
The training plan should be geared to ensure that your authority can achieve the standards of service set by the section 45 Code of Practice.
A training framework will be available from the DCA in the spring of 2004, which can be used as a model to assist public authorities in developing their training plans.
T3 - Review progress on training and follow up as necessary
Your organisation should review its training programme to ensure that it is on schedule, that it is delivering the right training to the right people, that new entrants have been given appropriate training, and that it is effective.
There are a number of ways of testing the effectiveness of training programmes, such as the use of mystery shoppers, test requests, and staff awareness surveys.
If you find gaps in your training programme, or areas where better practice can be introduced, you should ensure that these are addressed, and that your training programme puts you in the best possible position for 2005.
| To have in place information management systems and practices that will allow your authority to know what information it holds, know where that information is, and be able to retrieve and distribute information in a timely and efficient manner. |
I1 - Review Records and Follow the National Archives Records Management MAP
The National Archives have produced a number of model action plans for different kinds of public sector organisations. They are tailored to enable your organisation to comply with the Lord Chancellor's Code of Practice on the Management of Records Under section 46 of the Freedom of Information Act 2000. The guidance is available from the National Archives' website
Part of your authority's preparation project to implement the Freedom of Information Act will be to ensure that its records are in a sufficient state of readiness to meet the standards necessary to deal effectively with FOI requests. Depending on the size of your organisation, your Records Management Project could either be run separately, or as a sub-project within your overall implementation project.
I2 - Appoint/train someone as records manager
At the time of the implementation of the Act, ensure that a Records Manager (or Departmental Records Officer) is in place.
It will benefit your organisation if the records manager is appointed prior to the implementation of the Act, to provide expertise in the review of records and to manage the records management project.
Your records manager, along with your senior champion, has a vital role to play in ensuring that records management is taken seriously and treated professionally throughout your organisation. A sound records management culture allows your authority to comply with FOI much more easily, and to develop and maintain proper standards of record keeping.
| To ensure that your publication scheme is as comprehensive as it can be, and that you have an effective communications strategy in place to raise awareness of the Act within your partner organisations, and with your customers. |
C1 - Analyse what is published now, what is in the publication scheme, and what could go in it.
As part of the project run by the implementation team, take stock of what has been learned, and assess what further information can be added to the publication scheme, and whether this would be helpful to your organisation.
Analyse the kinds of requests for information that your organisation currently receives, and those that you might anticipate, and decide whether or not your publication scheme is likely to meet the majority of these requests. If it is not, and if the requests you anticipate are not likely to be ones that you would refuse, then you should expand on the amount of information included in your publication scheme.
In considering this course of action, it is important to remember that while there is no requirement for approval from the Information Commissioner for the enlargement of your publication scheme, your authority should ensure that the ICO is informed of any changes that you make.
C2 - Develop Networks Nationally and Locally
A key lesson learnt from other countries that have implemented FOI legislation is that FOI practitioners who work together in networks are better able to respond properly and promptly to requests for information, and benefit from the support of colleagues when handling requests that require expert decision making.
FOI practitioners working in public authorities are likely to find that they can form networks nationally, with staff in authorities who do similar work. The DCA is active in promoting national networks across work sectors, and if your authority is not already part of a network but wishes to be so, then you should Email us
At a local level, practitioners may find that theirs is not the only authority that holds information on a particular topic. They may find it useful to develop contacts and form networks with staff from authorities or agencies that may also hold information about shared subject areas from the perspective of the work they do. FOI Practitioners should look at the work their authority does, and consider developing local networks with partner public authorities.
C3 - Design and implement an external communications strategy
As part of your duty to assist, as set out in part II of the section 45 Guidance, you should ensure that your customers and stakeholders are aware of the upcoming implementation of the Act, and what their new rights are from January 2005.
Experience from other countries has shown that enquirers and potential enquirers respond very positively to organisations which not only recognise that people have a right to information held by public authorities, but actively assist the public in delivering those rights to them.
Making your customers aware of their new rights is the first step in building a new relationship of greater openness and trust with them, and ensuring that FOI becomes a benefit to your authority, and not a burden.
C4 - Contact relevant third parties to:
All public authorities that are covered by the Act should ensure that other organisations with which they conduct business are aware of the authority's new responsibilities under the Act, and are aware of the consequences of these new responsibilities. For example, contracts with third parties, which may previously have been considered confidential, may be subject to disclosure under the Act. (Part VIII of the section 45 Code of Practice specifically covers contracts).
Similarly, your authority may hold information on behalf of third parties that may be the subject of requests for information. Responding to those requests may well involve regular consultation with third parties. Your authority should ensure that those third parties are aware of the time constraints that you will be under, and are able to assist you in a timely fashion to enable you to respond to requests within the twenty-day limit. Part VII of the section 45 Code of Practice sets out the standards your authority should aim for in this area.
| To ensure that your organisation's systems and procedures for handling, responding to and monitoring requests comply with the duties and obligations imposed and implied by the Act. |
S1 - Review document structure to facilitate release under the Act
Once the Act comes into force, there are likely to be certain types of documents that will regularly be the subject of FOI requests. If your organisation has documents which are likely to fall into this category (such as advice notes to senior staff, minutes of board meetings, and so on), you should review the structure that these documents currently take. If they are in a form which would mean that a lot of work would have to be done to them to split the releasable information from information covered by exemptions, you should consider altering the structure of the document to make this process as straightforward as possible. A good example of this practice is that all advice to Ministers at the Welsh Assembly is now split so that the factual information is separated out from the analysis of the issue, and is then published as a matter of course. Details of this practice can be found on the Assembly's website
If your organisation decides to alter document structures to make them 'FOI Friendly', then staff will have to be trained in producing documents in the new format, and in the processing of FOI requests relating to them. This should be fed into your training plan. It is important that your staff remain aware that all requests for information must be treated on their merits, and that the fact that information falls in the part of the document that is not automatically released is not a sufficient reason for withholding it.
S2 - Plan the kind of institution specific guidance and administrative procedures that are needed to comply with the Act (fees, duty to assist, internal complaints etc)
The section 45 Code of Practice sets out the practice that the Lord Chancellor feels it would be desirable for public authorities to follow when discharging their responsibilities under the act.
In setting out this best practice, the Code of Practice, very deliberately, does not set out how to achieve these standards. The reason for this is that the Act applies to over one hundred thousand public sector organisations, each of which is different, and each of which will have a different approach to the issues raised by FOI.
The DCA will be publishing guidance on handling FOI requests, and the application of exemptions that relate to information held by central government departments, in the autumn of 2004.
Your authority should consider whether bespoke guidance on compliance with the section 45 Code of Practice is required, or if you are happy to rely on centrally produced guidance.
You should also decide, within the parameters set by central guidance, what your organisation's fees policy is, how far it will go in its duty to assist, what its internal complaints procedure will be and so on. All these compliance standards (with the exception of fees) are set out in the section 45 Code of Practice.
S3 - Develop procedures and examine systems for monitoring requests for information made under the Act.
The DCA will be producing guidance on the monitoring requirements for FOI requests for central government departments in early 2004. Public authorities outside central government may wish to monitor the number of requests for information they receive. There are a number of advantages in following this policy. Authorities that monitor requests are able to assess the amount of work FOI is generating, to see how well they are dealing with their new responsibilities, ensure that requests are being dealt with within the twenty working day limit, and ensure that there is consistency in their application of exemptions.
If your authority is going to monitor the number of FOI requests it receives, it will need to bear this in mind when planning its procedures for handling requests, and factor it into its training plans.
A number of software and IT companies are currently developing software systems that will track and monitor requests for information. The DCA will be publishing a specification for such systems by spring 2004. Should your authority decide to use such a system, it should assess the different packages that are becoming available, and set a timetable for acquiring the system and rolling it out.
Training on use of any monitoring system your authority acquires should be factored into your training plan.
| Action Plan | See Action |
| Now if it has not been done already | |
| Appoint an information champion | L1 |
| Appoint a project team | L2 |
| Assess your overall preparedness | L3 |
| By the beginning of spring 2004 | |
| Draw up a tailored project plan for your organisation | L4 |
| Review records and follow the National Archives' records management MAP | I1 |
| By the end of spring 2004 | |
| Appoint/train someone as records manager | I2 |
| Review document format to facilitate release under the Act | S1 |
| By the beginning of summer 2004 | |
| Plan and develop institution specific guidance | S2 |
| Develop an internal communications strategy | T1 |
| Analyse and develop the publication scheme | C1 |
| By mid-summer 2004 | |
| Analyse training needs and draw up and implement a training plan | T2 |
| Develop networks nationally and locally | C2 |
| Design external communications strategy | C3 |
| By the end of summer 2004 | |
| Contact third parties | C4 |
| Develop monitoring procedures and examine systems | S3 |
| Implement external communications strategy | C3 |
| By Autumn 2004 | |
| Review progress on training | T3 |
| Review and evaluate | L5 |