Description

Compliance tracker is built on our mature tracking platform and inherits the wealth of features our technology provides. The following description describes the basic functionality of Compliance Tracker specifically in terms of FOI rand EIR request tracking.

In general we meet and in some cases exceed the Generic User Requirements Specification for IT Systems to Manage FoI and EIR Enquiries issued by the Department for Constitutional Affairs Version 4.0 issued 8 April 2004.

If you are want to explore the full depth of Compliance Tracker's features and see how we meet the DCA Specification, please contact us for more information.

Request tracking

The primary purpose of Compliance Tracker is to track requests for information in such a way as to minimize fulfillment cost and efforts, as well as ensure compliance with the Freedom of Information Act 2000, the Data Protection Act 1998 and the Environmental Information Regulations (existing and proposed regime).

Compliance Tracker records all relevant information about the applicant, not only the request itself, but also the applicant’s contact information.  Internally, the request is evaluated for validity under FOI, EIR, or DPA, and it is routed appropriately (e.g. assigned to someone).  These actions are recorded and time stamped.

Valid requests must be honored within predetermined timeframes, which can be extended in certain cases.  Compliance Tracker takes these possible delays into account, and records information associated with them.  For example, if the law permits the applicant to be billed for the requested information, then the clock stops until payment is received from the applicant.

The final disposition of all requests is recorded, along with any associated information.  For example, if the request turns out to be invalid, an explanation of this fact is recorded with the request.

Reporting

Ad-hoc and predefined reports are provided via user definable filters that are applied to requests. Any number of filters can be created. The filters can be made public for use by all users or may be private for use by the filter creator. Reporting using filters is a powerful way to track requests in process and to monitor the efficiency of dealing with requests. The filter results can be displayed visually in the requests calendar.

All information in reports can be exported as comma separated value (CSV) files.

Applicants

Requests are associated with an applicant.  Applicant information is stored so that if the applicant has previously requested information, the original applicant record can be associated with the new information request.  In this way, requests per applicant can be unambiguously tracked.

Request Status

A request can have one of the following status values: pending, assigned, completed, verified, closed, non-issue, or deferred.  These status values are described as follows:

• Pending - New requests are created with pending status.
• Assigned  - When a request is assigned to someone, that person is responsible for completing the request.  A request may be reassigned multiple times in its life cycle.
• Completed - A set of secondary status values is provided in this case.  These are discussed below.
• Closed - Note that a request must have been completed before it can be closed.
• Deferred - A request would become deferred if more information is required from the applicant, or if the applicant must be billed.  In both cases, additional information must be recorded.  This is discussed below.
• Non-Issue - A request is a non-issue if, for example, it is retracted by the applicant, or is not being pursued for some other reason.

A checkbox is provided for use in cases of non-disclosure due to the need to neither confirm nor deny the existence of the requested information.

Completing Requests

A request is marked as completed if the request has been processed.  This processing may result in disclosure, or it may not.  The fact of disclosure or non-disclosure is recorded.  In the case of partial disclosure or full non-disclosure, the applicable exemptions are recorded.  In particular, a request can be completed in one of the following ways:

• Full disclosure of the requested information.  In this case, comments regarding disposition of the request are recorded in the request’s follow up comments.
• The information is in the public domain.  In this case, the applicant is directed to the information.  A “where” field is used to record this information.
• The information is already in the publication scheme.  In this case, the applicant is directed to the information.  A “where” field is used to record this information.
• Partial disclosure of the information.  In this case, the relevant exemptions are recorded with the request. More than one exemption may associated with the request.  A textual field is available to record a verbal explanation for the exemptions.
• Withholding of the information.  This is similar to the above.  Exemptions and explanation are recorded.
• The organization does not have the requested information.

Deferring Requests

Requests may be deferred if additional information is required before the information request can be processed.  The request may be deferred for one of the following reasons:

• The applicant has been billed for the cost of providing the information and payment has not been received.
• More information is required from the applicant
• The handling of the request is currently under investigation.

The time and date of deferral is recorded in the database.  If the request is later un-deferred (e.g. by being assigned to someone), then the time interval between deferral and un-deferral is added to the request’s need by date.  In other words, the clock stops ticking while the request is deferred.

For cases where the applicant is billed, fields to record the bill amount and invoice number are provided.  In addition, a checkbox is provided to indicate whether this is a taxable event.  If the box is checked, then 17.5% is added to the total, which is displayed in an un-editable field.

Request Validity

A dropdown field is available for the user to specify whether the request is valid under FOI, EIR, or DPA.  If none are selected, then the request is assumed to be invalid.

Correspondence

Any number of documents of various types can be attached to requests. Documents can be easily uploaded by the user and are stored on the server. Written hard copy requests can be scanned and attached, email and any form of text or graphic files can be easily attached. The user can create correspondence with their chosen editor or text program and attach a copy of the file to the request record.

Replying by email is directly supported from the request record.

Copyright © 2005 FOI Software