FOI71

WrittenevidencefromtheUniversityofLeicester
ExecutiveSummary
TheUniversitysviewisthatthelegislationisnotmeetingrequirementsanddoeslittleto supportthestatedaimsofopenness,transparencyandaccountability.WithintheHigher Educationsector,relativelylittleuseismadeoftherightstoaccessinformationbutitis neverthelessextremelyexpensivetoadminister.Farfromsupportingitsaims,the complexityofthelegislationanditsapplicationisgeneratingaviewbydefaultthatpublic authoritiesarenotonlybeingsecretivebutarealsoactinginanimpropermanner. TheUniversityisparticularlyconcernedthattherightofaccesstoinformationisbeingused byjournalists,commercialorganisationsandothersinamannerthatwasnotoriginally intendedandatsignificantcosttoinstitutions. Noeffectiveprovisionismadewithinthelegislationforsectorssuchashighereducation whichoperatewithinacompetitiveenvironment. Thereisonlylimitedprotectionforresearchdataalthoughitisrecognisedthismaybe addressedtoacertainextentbyproposalsintheProtectionofFreedomsBill. Lackofclarityandambiguityintheapplicationoftheexemptionsisdamagingtothe reputationofpublicauthoritiesandunhelpfultothegeneralpublic. Duetotheexclusionofthecostsofredaction,thefeechargingmechanismistotally ineffectiveinprotectingpublicauthoritiesfromincurringunreasonablecostsofcompliance. TheUniversityconsidersthereisaneedtoreviewthelegislationwithrespecttothehigher educationsector,bothintermsofapplicabilitygiventhereducinglevelofpublicfunding, andwithregardtoprivatehighereducationproviders,andtheneedforalevelplaying field. FortheHigherEducationsectortheUniversitywouldprefertoseeamoreprescribed approachtopublicationofinformationbalancedbyarestrictedrightofaccess,andgreater protectionofcommercialinterests,butwithappropriatesafeguardstopreventundermining ofthebasicaimsofthelegislation.

UniversityofLeicester

Introduction
1. TheUniversityofLeicesterwelcomestheopportunitytosubmitevidencetotheJusticeSelect CommitteeforitspostlegislativescrutinyoftheFreedomofInformation(FOI)Act.Comments areorganisedwithrespecttothethreekeyissues:effectivenessoftheFOIAct;itsstrengths andweaknesses;andwhetheritisoperatingasoriginallyintended.

DoestheFreedomofInformationActworkeffectively?
Provisionofaccesstoinformation 2. Thefundamentalpurposeofthelegislationistogivethepublictherighttoaccessinformation heldbypublicauthoritieswithaviewtoencouragingacultureofopennessandaccountability thatwillpromoteabetterunderstandingofhowpublicauthoritiesoperate,howdecisionsare made,andtheusethatismadeofpublicfunding.Theseareprinciplesandobjectiveswhichare inherentintheUniversitysCharterandStatutesandarereflectedinitsgovernancestructure. Withinthehighereducationsector,theFOIlegislation,initspresentformandusage,addsvery limitedadditionalbenefittothepublicbutimposesasignificantoverheadoninstitutionsin respondingtorequestsforinformationandincompliancegenerally. Akeyconcernisthatinpracticethelegislationisvirtuallysolelyrequestbased,andinthe Universityscasethisrightisexercisedbyasmallgroupofrequestors.CurrentlytheUniversity receivesbetween130140requestsforinformationperyear.Nevertheless,thisrelatively limiteddemandrequires:aminimumoftwostaffwithahighleveloflegalexpertiseand knowledgeintherequirementsoftheFOIAct;trainingofallUniversitystaff;significanttime spentintheapplicationoftheFOIActandotherlegislation;considerableeffortincollatingand redactinginformation;andreviewofcomplaintsandaddressingthosewhicharereferredtothe InformationCommissioner.TheUniversityestimatesthatfor2011,compliancewiththe legislationrequiredstafftimeequivalentto3.1midrangepostsandatatotalcostof185,000 (calculatedonafulleconomiccostbasis)acostforwhichthepublicgenerallyderivedvery littlebenefit. Itshouldbenotedthatthesecostshaveincreasedconsiderablyovertimeandareverymuchon anupwardstrajectory.Scaledupacrossthesector,thesecostsarenotsustainableandarenot inthepublicinterest.TheJointInformationSystemsCommittee(JISC)hasprovidedavery roughestimatethatthecurrentcostofFOIcompliancewithinthehighereducationis10mbut ifallattributablecostsaretakenintoaccounttheactualcostisprobablydoublethisamount. TheFOIActrequirespublicauthoritiestomaintainaPublicationSchemewhichlargelycontains informationthatuniversitiesalreadymakeavailabletothepublicthroughtheirwebsites.The Act,however,requiresthepresentationoftheinformationinaccordancewithapredefined template.Asaconsequence,eithertwoinformationsourcesorextensivecrossreferencing fromthepublicationschemetothewebsitehavetobemaintained,andfromtheUniversitys experience,little,ifanyuse,ismadeofthePublicationScheme.Itisthereforeanexpensive andunnecessaryoverhead. Amoreproactiveapproachisnecessaryinordertoprovidetheinformationthatisneededby thepublicand,inthecaseofthehighereducationsector,byapplicants,students,andindustry. ThisviewwasreflectedintheWhitePaperHigherEducation:StudentsattheHeartofthe

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UniversityofLeicester System,whichfullysupportedthepublicationbyuniversitiesofKeyInformationSetsaccessible throughacentralsource,andadvocatedtheirfurtherdevelopment. Accountability 7. Withrespecttoaccountability,whilstthisisclearlyhighlydesirablethelegislationisbeing perceivedasanaudittool.AlthoughitisthecasethattheabuseofexpenseclaimsbyMPs wouldnothavebeenfullyuncoveredwithouttheFOIlegislation,thereshouldhavebeenbetter controlsinplacetohavepreventedithappening.Itisatotallyunsatisfactorysituationifthe propergovernanceandmanagementofpublicauthoritiesisdependentontherandomauditby thepublicandthePress.Itwouldbemuchmoreappropriateandcosteffectivetohavebetter regulationinplacewherethisisdeemednecessary.

WhatarethestrengthsandweaknessesoftheFreedomofInformationAct?
Poorlydefinedexemptions 8. Thereisalackofclarityinthedefinitionofanumberoftheexemptionsandsignificantscope forambiguityininterpretationwhichresultsinfrequentchallengesbythegeneralpublicand oftentheneedforadjudicationbytheInformationCommissioner.Theproblemisfurther compoundedwhereitisnecessarytoapplyapublicinteresttestwhichwillinevitablybe,byits nature,asubjectivejudgement.Thisisunsatisfactoryforpublicauthoritieswhichhaveto expendconsiderabletimeinassessingtheappropriateapplicationoftheexemptions,whichis notintendedtoavoiddisclosurebutissimplytoensurethatnotonlyaretheUniversitys interestsprotectedbutalsothatnationalinterestsandindividualsrightsareprotected.From thegeneralpublicsperspective,andparticularlywherethereislimitedknowledgeor experienceinthisfield,thenuancesofthelegislationcanbedifficulttounderstandandthe publicauthoritiespositionisoftenseenasevasive.

Limitedprovisionforpublicauthoritiesoperatinginacompetitiveenvironment 9. TheFOIlegislationmakeslittleprovisionforthosepublicauthoritiesoperatingwithina competitiveenvironment.Universitiesarealreadyoperatinginsuchanenvironmentboth withintheUKandinternationally.IntherecentWhitePaperHigherEducation:Studentsatthe HeartoftheSystem,thegovernmenthassignalleditsintentiontoopenuptheHigher Educationmarkettoabroaderrangeofbodiesincludingthoseintheprivatesector. NotwithstandingtheFOIrestrictionsonaccesstocommerciallyconfidentialinformation,higher educationinstitutionswithinthepublicsectorwillbeplacedatasignificantdisadvantageinthat forprofitorganisationswillhaveconsiderableaccesstomarketingrelatedinformation,and alsototeachingandresearchoutputs,whilstbeingabletodenysimilaraccesstotheir information.Furthermore,suchorganisationswillclearlynotincuranycompliancecosts.

10. Relatedtotheabovepoint,asthehighereducationfundingmodelisnowchanginganddirect governmentfundingisreducingsignificantlyasaproportionoftotalincomeitisquestionableto whatextentthesectorshouldnowfallwithinthescopeoftheFreedomofInformation legislation. Accesstocommerciallyconfidentialinformation 11. Withrespecttotheexemptionapplyingtotheprovisionofcommerciallyconfidential information,therehasseeminglybeenatendencyinthepastfortheviewtobetakenthat highereducationinstitutionsarenotoperatinginacompetitiveenvironmentgivinga presumptionfordisclosure.Ifthisisstillthecase,thisviewdoesneedtochange.
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UniversityofLeicester Inadequateprotectionofresearchdata 12. TheUniversityfullysupportstheprincipleofmakingresearchdatamorewidelyaccessible,and indeedthesectorasawholepursuesapolicyofopennessinthisrespect,butthereare circumstanceswhereitisnotappropriatetograntaccesstoresearchdata.ThecurrentFOI legislationdoesmakeprovisionforexemptiontotherightofaccessinsuchcircumstancesbut themannerinwhichthelegislationisappliedgiveslittleeffectiveprotection. 13. Theunderlyingproblemisthatresearchconsiderationswerenottakenintoaccountwhenthe legislationwasdraftedandasaconsequenceitisprimarilyaimedatthetypesofinformation heldbygovernmentalbodies.Asnotedabove,norecognitionisgiventoorganisationswhich havestrongcommercialinterests,asisthecaseforthehighereducationsector,andparticularly withrespecttoresearchstaffwhoareworkinginahighlycompetitiveinternationalfield. 14. Arequirementtodiscloseresearchinformationbeforepublicationmaysubstantiallyprejudice thatresearchgivingcompetitorsandthosewhowishtoexploitresearchcommerciallyaclear advantage.Whilstthereisanexemptionrelatingtofuturepublication,itsengagementis uncertain,dependingonthelengthoftimetopublicationandconsiderationofthepublic interest.AproposedamendmenttotheProtectionofFreedomsBilltoprovideanexemptionto therightofaccesswheretheresearchisongoingandwhereitsdisclosure,beforethedateof publication,wouldsubstantiallyprejudicetheresearch,wouldaddressthisconcern. 15. Similarly,forresearchdatawhichisconsideredtobecommerciallysensitive,theapplicationof theexemptionrelatingtoCommercialInterestsisuncertainandmaybeoverriddenifitis consideredtobeinthepublicinteresttodisclose.Clearlythiscanseverelyinhibituniversities abilitytoenterintocommercialpartnerships. 16. Thelegislationisalsofailingtoprotectresearchofasensitivenature,andconsequently exposingstaffworkingintheseareastorisk,ashasbeenseeninrelationtotherulingrequiring theUniversityofNewcastletodisclosedetailsofHomeOfficelicencesrelatingtoprojects whereanimalsareusedforexperimentation. 17. ThesituationisnowbeingfurtherexacerbatedwiththeprovisionwithintheProtectionof FreedomsBillwhichwillrequireuniversitiestoprovideaccesstoresearchdatasetsinan electronicformwhichiscapableofreuse.Again,therehasbeennoapparentassessmentof theimpactofthelegislationonresearchdataandonuniversities.Theredoesnotappeartobe afullunderstandingofthenatureofresearchdata,andinparticularof: a) Thedifferencebetweenquantitativeandqualitativeresearchdata.Whilsttheformerlends itselfmoretopresentationinadatabaseformatforanalysis,thelatterislessstructured andmuchmoredifficulttoprovideaccessinameaningfulway. b) Thescaleandcomplexityofresearchdatawheresizemaybemeasuredinterabytesand heldindatabasescontaininghundredsofdatasets.Researchdatacanrarelybeheldin simpleonedimensionaldatasets.Universitieswillincursignificantcostsbothintranslation toaccessibleformatsandintheprovisionofdetailedexplanatorynotes. c) Thedistinctionbetweendatathatcanusefullybeputinthepublicdomain(e.g.genomic data)tosupportotherresearchortechnologytransfer,datathatiscommerciallysensitive forwhichaccessneedstoberestricted,anddataofaconfidentialorsensitivenaturethat evenwheretherawdataismadeaccessibleinananonymisedformmaystillpermit identificationofindividualsorothersensitiveinformationthroughanalysisofsmallgroups anddeduction.
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UniversityofLeicester 18. Underthenewlegislation,universitiesarenotonlylikelytoberequiredtoprovideaccessto datawhichwillbedamagingtotheirinterestsbutalsotoincursignificantcostsinsodoing. Chargingoffeesfortheprovisionofinformation 19. Frequentlyinrespondingtoarequestforinformation,considerabletimeandexpensewillbe incurredindeterminingwhethercertainexemptionsareapplicableandinseekinglegaladvice whereappropriate,andintheredactionofinformation.Withrespecttothelatter,most redactionisnecessarytomeettherequirementsoftheDataProtectionlegislation.TheFOI legislation,however,makesnoprovisionforchargingfortheseactivitieswhichisoftenthe majortimecomponentinrespondingtorequests. 20. Whilstthefeechargingmechanismsetsouttopreventpublicauthoritiesfromincurring unreasonablecostsofcompliancebyimposingan18hourlimitabovewhichcostsmaybe charged,inpracticeastheabovecostsareexcludedrespondingtorequestscantakedaysor evenweeksofeffort.Asaconsequencethereisnosuchprotection.

IstheFreedomofInformationActoperatinginthewaythatitwasintendedto?
Requestsnotinkeepingwiththespiritofthelegislation 21. AsignificantproportionoftherequestsreceivedbytheUniversityarenotwhatthelegislation wasintendedtoaddress.Theseincluderequestsreceivedfromjournalistsandcommercial organisations.Withrespecttotheformerthesearelargelyfishingexpeditionswhere journalistsrequestthesameinformationfromtheentirehighereducationsector,notbecause thereisanyrealconcernorevidenceofwrongdoingbutwiththehopethatitmayunearth someinappropriateactivity.Anexampleofwhichwasarequestreceivedlastyearforcopiesof allcredit/purchasingcardstatementsinoriginalformatforallstaffforthepreviousfinancial year.ThecosttotheUniversityoftheserequestsisestimatedtobearound50,000per annum. 22. Requeststhatarereceivedfromcommercialorganisationsaregenerallyformarketingpurposes andclearlyrepresentanabuseofthelegislationwithinstitutions,andindirectlythetaxpayer, subsidisingtheseorganisationsmarketingoperations.InLeicesterscase,thisamountsto around25,000perannum.ArequestrecentlyreceivedbytheUniversityaskedfordetailed informationrelatingtoITequipmentandITsupportarrangements.Itisunderstoodthatthe samerequesthasalsobeensenttoover1,400publicauthorities.Onthebasisofa conservativeestimatethatonaverageitwillrequireonedayseffortbyeachauthorityto respondtotherequest,thisamountstoaround6yearseffortbeingpaidforoutofthepublic purseforasinglerequestforpresumablyonemarketingorganisation. 23. Therearealsoexamplesofrequestsforwhichitisdifficulttodiscernanybenefittothepublic orthatcouldevenbeconsideredtobefrivolous,whichincludesarequestreceivedfornumbers anddetailsofaparticulargroupofstudentsthatwasgraduatingtoassistintheorganisationof aball. 24. Neverthelessthereareclearlyanumberwhichdofallwithinthespiritofthelegislationandfor whichitisimportantthattherightofaccessismaintained.However,giventhatthepublication schemeisbarelyused,andthatofthe356requestsreceivedbytheUniversityoverthepast threeyears,alittleover200maybeconsideredtobeinthespiritofthelegislation,itis effectivelycostingtheUniversity185,000tosatisfytheinformationrequirementsofan

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UniversityofLeicester averageof67requestorseachyear.Clearlytheseneedscouldbeaddressedinamorecost effectivemanner.

Conclusion
25. TheUniversityclearlyfullysupportstheprinciplesuponwhichthelegislationisfounded. However,intheirimplementationtheUniversitysviewisthatthelegislationisnotmeeting requirements.Itisexpensivetoadministerandthereactivenatureofitsapplicationinpractice isgeneratingaviewbydefaultthatpublicauthoritiesarenotonlybeingsecretivebutarealso actinginanimpropermanner.Thisisagreatdisserviceandattimescanbeveryoffensiveto thehardworkingandcommittedstaffworkinginpublicauthorities. 26. TheUniversityconsidersthatamoreproactiveapproachisnecessaryinordertoprovide broaderaccesstoinformationandtogiveassuranceregardingpropermanagementanduseof publicfunds,andtodosoinamorecosteffectivemanner. 27. Thereisalsoaneedtoreviewthelegislationwithrespecttothehighereducationsector,both publicandprivate,inordertoprovidealevelplayingfield.Suchreviewshouldalsogive broaderconsiderationofthejustificationforhighereducationfallingwithinthescopeofthe FOIlegislationgiventhereducinglevelofgovernmentfunding. 28. ArevisedapproachtoFOIcouldincludethefollowingelements: a) Amoreprescriptivepublicationschemeapplicabletothepublicandprivatehigher educationsectors. b) Enhancedfinancialandotherregulationwhereconsideredappropriateforthepublicly fundedHEsector. c) Amorerestrictedrightofaccesstoinformationsubjecttoappropriatesafeguards. d) Greaterrecognitionofpublicauthoritiesoperatinginacompetitiveenvironmentand protectionofinformationofcommercialvalue. e) Controlsontheaccessibilityofteachingandresearchoutputswhereappropriate. f) Greaterclarityinthedefinitionandapplicationofexemptions. g) Restrictionsonwhomayrequestaccesstoinformationandforwhatpurposelinkedtoa chargingmethodallowinggreatercostrecoverywhereappropriate. 29. Fromthehighereducationsectorsperspectivethisapproachwouldplaceitonamoreequal footingwithboththeprivateandinternationalsectors,andreducethecostofcompliance,but moreimportantlyitwouldalignwiththedirectionthesectorisalreadytakingwithrespectto theprovisionofserviceandinformation. February2012

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