FOI41

WrittenevidencefromtheUniversityofWestminster ExecutiveSummary 1. TheFreedomofInformationOfficerattheUniversityofWestminsteroffersevidenceof concernsthatrelateto: (i)TheapplicationoftheActtoHigherEducationInstitutions(HEIs) (ii)TheuseofHEIresourcestosupportprivateneedsratherthanpublicinterest, (iii)HowpublicauthorityfeesregulationsimposeaheavyburdenohHEIsandhowactualcosts arelikelytobeunknownandrising, (iv)HowthecurrentInformationCommissionersOffice(ICO)guidanceontheuseof pseudonymsbyrequestorsadvisesonlyconsideringthenatureoftheinformationrequested ratherthanalsowiderissuesrelatingtoavoidingthecorrectestimationofcostsandpossible vexatiousactivities. (v)HowthecurrentICOguidanceonvexatiousrequestsrepresentsaveryhighburdenonHEIs beforearequestisconsideredtobevexatiousanddoesnotofferanearlyopportunityforHEIs tochallengebehaviourthat,withtheirlimitedresources,canbedisproportionatelydisruptive andharmful. (vi)Theanomaliesthatexistswhenconsideringthedisclosureofpersonalinformationunderthe FreedomofInformationAct2000(FOIA)andthesameinformationundertheDataProtection Act1998(DPA)DataSubjectAccessprovisions. 2. WhilstitisrecommendedthattheapplicationoftheActtoHEIswouldbenefitfroma regularreviewandstatementofHEIspublicauthoritystatusundertheAct,otherareasof concernwouldbenefitfromfurtherconsiderationofregulationsandguidancespecifically forHEIsinrelationto: (i)LimitingthediversionofscarceUniversityresourcestosupportingprivateinformationneeds. (ii)ReviewingfeesregulationsinrelationtorequeststoHEIs. (iii)ReviewingICOguidanceontheuseofpseudonymsbyrequestorsandhowvexatious requestorsareidentifiedintheHEIpublicauthorities. (iv)Addressinganomaliesthatexistinconsideringthedisclosureofpersonalinformation betweentheFOIAandtheDPA. Introduction 3. AstheUniversityofWestminstersFreedomofInformationOfficersinceDecember2007,I havebeenwellplacedtoobserveandenacttheprovisionsoftheFreedomofInformation Act2000(FOIA)astheyaffectmyorganisation,otherHigherEducationInstitutions(HEIs) 1

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andmoregenerallytheHigherEducationsector.FromJanuary2008toDecember2011the Universityhasreceivedandrespondedtoatotalof354FreedomofInformationrequests, forwhichIhavehadoperationalresponsibility. FactualInformation HEIsPublicAuthorityStatus 4. TheUniversityofWestminsterisaregisteredcharityandcompanylimitedbyguarantee.Full detailscanbeseenathttp://www.westminster.ac.uk/aboutus/organisationandrunning oftheuniversity/charitablestatus 5. Since2005,thestatusoftheUniversityandotherHEIsasregisteredcharitiesandcompanies limitedbyguaranteeandtheirstatusasapublicauthoritiesundertheFOIAhasnotbeen subjecttoanyspecificrevieworstatementastothelogic,consistencyanddesirabilityof suchasituation.TheUniversityofWestminsterwouldwelcome,especiallyintherapidly changinglandscapeofHEIfundingandsourcesofincome,regularreviewsofthepublic authoritystatusthatHEIshaveundertheFOIAandpublicstatementsastothereasonsand desirabilityofsuchaposition. OpennessandTransparencyUniversityResourcesDivertedtoSupportPrivateInterests 6. TheUniversityofWestminsterhasbeensubjecttotheFOIAsince2005.Duringtheinitial years,2005to2008therewasagradualincreaseinrequestsreceived,from22to47ayear. However,sinceJanuary2009,theUniversityhasseenan86%increaseinFOIArequests. Fromatotalof72FOIArequestsin2009,toatotalof135FOIArequestsin2011. 7. WhilstFOIArequestsfromindividualsareontheincrease,asignificantproportionofFOIA requestsreceivedbytheUniversityofWestminsterhaveoriginatedfromthemedia, commercialorganisationsandcampaignorpressuregroups. 8. In2011journalists,commercialorganisationsandcampaigngroupswereresponsiblefor 48%ofallFOIArequestsreceivedbytheUniversity.Ifthisgroupweretoincludetrade unions,amajorityof52%ofallrequestsin2011wouldcomefromtheseorganisations. 9. Thismeansthatratherthanservethepublicinterestsandconcernsofindividualsholdinga publicbodytoaccount,theFOIAanditsassociatedcosts,areincreasinglybeingplacedat theserviceofgroupswhooftenhavenarrow,commercialorveryselfinterestedobjectives. 10. Inthecaseofthemedia,somerequestscanhavetheappearanceofafishingexpedition, withoutanygroundsorpreviousevidencethatanythingisamissorthatthereisindeedany publicdisquietorinterestintheareasofinformationrequested.Thesespeculativerequests divertscarceUniversityresourcesanddolittletoinformpublicknowledgeordebate. 2

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11. ThekeyissueintheseandotherFOIArequestsiscosts.Nofundingreceivedbythe UniversityisringfencedforenablingtheprovisionsoftheFOIAandthereforeresources intendedforotherpurposes,suchasstudentsupport,havetobedivertedtoserviceFOIA requests. FeesRegulations 12. ThecurrentFOIAregulationsandfeesallowforamaximumofaround2.5daysofeffort fromtheUniversitytobespentonlocating,retrievingandextractingtherequired informationforanyonerequest.Nootherrelatedactivities,theconsiderationofapplicable exemptions,theplacingoftheinformationinameaningfulcontextorthecreationof responsecommunicationscanbetakenintoaccount. 13. Additionally,inacomplexorganisationlikeaUniversity,withanumberoffunctionsoften operatingindifferentphysicallocations,estimatingeffortoraccountingforactualeffort expendedonanyrequestisoftenimpossibleinreality.Itwouldbetruetosaythatthe actualcosts,whicharelikelytoberising,arenotknownfortheoperationofFOIAin Universities. 14. AndasamajorityofourFOIrequestsin2011camefrombodieswhomaynothaveawide publicinterestfocus,itwouldbeprobablytruetosaythattheassociatedcoststothepublic havenotbeenmatchedtoanyrealincreaseininformationofpublicinterestdisclosedto informpublicdebate. UseofPseudonyms 15. In2011theUniversityofWestminsterwassubject,likeanumberofotherinstitutions,toa seriesofrequestsfromarequestorwhousedavarietyofnamesorwasactingin collaborationwithanumberofotherpeople.Around10%oftheUniversityofWestminsters 2011FOIArequestsprobablycamefromthissource. 16. WhilsttherequirementfortheactualnameoftherequestoriscoveredbytheAct,the relatedInformationCommissionersOfficeguidanceasksinstitutionstoconsiderthe informationrequestedinthecontextfortheprovisionofarealname,notthefactthatitis likelytobeapseudonym,potentiallybeingusedforanumberofpurposesnotinthespiritof theAct.Forexampletocircumventtheaggregationofcostsrelatedtoacomplexrequest,or tohidetheidentityofaserialrequestorwhohasanarrowandpersonalinterest,oractual attemptstoannoyordisruptdisguisedbehindnumerousfalsenamesandassociatedemail addresses. 17. Agreatdealofpublicauthorityeffortcanbeputintotheserviceofindividualswho,like someorganisations,arenotmotivatedbyanypublicspiritofholdingapublicauthorityto account,butwhohaveaverynarrowandsometimesobsessiveinterestinaparticulararea, 3

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thatwouldnotbesharedbythepublicasawhole,orwhoaremotivatedbyawishtoannoy anddisrupt.TheInformationCommissionersOfficeguidanceontheuseofpseudonymsis nothelpfulinthesesituations. VexatiousRequests 18. Additionally,thecurrentICOguidanceandtestsforavexatiousrequest,notrequestor,are socomprehensive,thatagreatdealofactualrequests,annoyance,disruptionandeffort needtohavebeenexpendedbeforeitislikelythatarequest,notarequestor,canbefound tobevexatious.Inasectorwhereresourcesarescarce,theseactivitiescanbe disproportionallydisruptiveatastagefarbeforetheywouldbeconsideredvexatiousunder thecurrentICOguidance.ShouldHEIsbeheldtothesamescaleofabuse,oftenaimedat onlyoneortwoFOIofficersorFOIassistants,whichotherpublicauthoritiesfacewithwhole departments? PersonalInformationAnomaliesbetweenFOIAandDPA 19. TheinteractionbetweentheFOIAandtheDataProtectionAct1998(DPA)isoneofthemost complexareasoftheFOIA.Italsoispossibletothrowupanomalies,especiallywhen contrastinghowinformationrelatingtoanindividualishandledunderFOIAandhowit mightbehandledifrequestedbytheindividualunderaSubjectAccessRequest,withthe FOIAincludingapublicinteresttest,butnosuchprovisionbeingavailableundertheDPA. RecommendationsforAction 20. ConsideraregularreviewoftheFOIApublicauthoritystatusofHEIs,giventherapidly changingHEIfundingandincomeconditions. 21. ConsiderwhetherthelevelsofeffortthatHEIpublicauthoritiesarerequiredbytheActto expendonanyFOIArequestarereasonable,giventheirresourcelimitationswhenput alongsideothernoncentralgovernmentpublicauthorities. 22. Lookatthetypesofrequestorandconsiderwhetherthosewithanarrowpublicinterest shouldbethebeneficiariesofsomuchpubliclyfundedeffortandrelatedinformation. 23. Lookagainattheactionsofrequestorsandtheguidanceonvexatiousrequestsandsee whetherthesearefairtosmallerpublicauthoritiesandtheirlimitedresources. 24. ContinuetoclarifyandinformontheinteractionoftheFOIAandtheDPA,andplanto addresssomeoftheanomaliesthatarepresentbetweenhowidenticalinformationis consideredfordisclosureundertheseActs,potentiallytothedetrimentoftheindividuals concerned. February2012