Source document: https://docs-lawep.s3.us-east-2.amazonaws.com/1696587798487.pdf (Vanuatu)
   RTI Officer’s Role  Initial Statement of Organization  RTI Requests  RTI Applicants  Proactive Publication Establish Internal RTI Committee S. 27 requires the RTI officer to: consult with a supervisor or a principal administrative officer before deciding to defer, partially grant or deny access COULD COMPRISE  Principal Accounting Officer  RTI Officer  Records Manager (if any) 1.

Proactive Publication 2.
Agency websites  Introduction to RTI & objectives  Information on how and to whom to make a request  Publication Scheme  Proactive publication  Disclosure log showing previous responses to requests for records REMEMBER  Publishing records and results of requests will help reduce the number of access requests  Information on websites about RTI must be current and accurate  RECORDS & INFORMATION MANAGEMENT  Good RIM Is A Must File planning and effective storage  ensures that information resources are more easily found and understood, facilitating proactive disclosure Early classification of sensitive records/records containing personal information  helps prevent the publication of confidential information Retention schedules  ensure that records are not inadvertently destroyed ATTORNEY GENERAL’S DEPARTMENT RTI Unit should make arrangements for:  stand-by assistance with interpretation & application of exemptions  Identify staff attorneys who may be called on for help  Inform RTI Officers of entities currently being phased of attorneys’ contact information  RTI Officers/Administrations Association RTI Unit to lead the formation of a formal association of RTI officers and administrators  Shared learning PURPOSE  Shared experiences  Strength in putting forward RTI administration concerns as a body  Develop customized body of best practices/learnings that could aid other new RTI officers/recent entities new to RTI administration Assistance to the RTI Officer s. 12 (2)  RTI Officer can request the
 assistance of any person employed at the agency  Person is obliged under the Act to provide all reasonable assistance  THE PROCESS RESPONSE 30 DAYS Acknowledge Transfer Clarify/Narrow Extension Search Exemption/ Decision 5 Days 5 Days 14 days Public interest (one time only) Access Granted (Full/Partial) Fee Paid Info Provided Within 7 days Access Denied/Delayed APPLICANT Makes request: s. 13  Written (letter, email)  Oral (telephone)  In- person  Any of the 3 official languages  Can use pseudonym*  About Pseudonyms & RTI Requests Must Use Real Name:  for amendment/annotation of personal information  If applying as a guardian of third party/next of kin/personal representative of deceased person REQUEST PUBLIC BODY Written Application Acknowledge request: Oral Application S. 13 (5)  Reproduce into written form  Provide a copy to applicant  within 5 days of receipt   state date of receipt state responsible RTI officer Make decision within 30 days Transfers s. 21 Notice To Applicant:  date of transfer  Records requested held by other  other agency to which it has been entity  Inform applicant  If applicant agrees, transfer (within 5 days) to other entity/RTI officer  Notify applicant in writing once transfer done transferred;  contact info/opening hours/ name & contact info of other RTI officer  Other RTI officer: Acknowledge request Process in 30 days (from date of transfer).
Request Involves Multiple Records/Sources  Request seems to ask for a single record, but information contained among a group of records, it should still considered a request.
 Advise applicant of group of records  (common sense approach since applicant should be allowed opportunity to consider fee implications should access were to be granted to more documents than anticipated and reproduction is the preferred form of access)  You are not clear what is being requested Clarify Request  Gain a clear understanding and agreement between RTI Officer and applicant about what applicant really wants.

 Makes entire process easier for all concerned in long run.
 Reduces breadth/scope of request  Decrease number of records requested Narrow Request  Best Practice Tip  Best if employee most knowledgeable about the requested record(s) communicates directly with the applicant to clarify/narrow the request.

 While a letter is appropriate in some instances, speaking with an applicant is usually the better way for both parties to quickly explain and answer questions about scope and content of the request.
EXTENDING RESPONSE TIME s. 20 If Application involves:  a large amount of records  such a large amount of records that it would unreasonably interfere with the entity’s activities  required consultations would take a longer time than the 30 day response PERIOD OF EXTENSION Additional 14 days, one time only NOTE DEEMED REFUSALS OF ACCESS S. 25  RTI Officer deemed to have refused an RTI request if s(he) fails to make a decision within:  Normal Response time of 30 days - 16(1) Or  Period of extension - s. 20 Grounds for Appeal  Applicant may appeal this deemed refusal to the IC Repeat Applications (s. 26) RTI Officer may refuse grant of access if satisfied that:  Application made by/on behalf of person who previously applied for access to same information;  OR  application was refused by RTI Officer and IC/Court confirmed the decision RECAP QUESTIONS 1.
An RTI Officer may decide to deny, partially grant or defer an RTI request.

What does the RTI Act require him/her to do before taking any of those decisions?

2.

What practical step can an agency take to avoid the publication of personal and confidential information?

3.

An applicant may choose to use a pseudonym when making an RTI request.

Under what circumstances would an applicant’s real name be necessary for an RTI request?

4.
4.

If you receive an oral RTI request, what does the RTI Act require you to do?

RECAP QUESTIONS & ANSWERS 1.

An RTI Officer may decide to deny, partially grant or defer an RTI request.

What does the RTI Act require him/her to do before taking any of those decisions?

Consult with his/her supervisor or principal admin officer of Gov’t agency or relevant private entity 2.

What practical step can an agency take to avoid the publication of personal and confidential information?
Conduct early classification of sensitive records or records containing personal/confidential information 3.

An applicant may choose to use a pseudonym when making an RTI request.

Under what circumstances would an applicant’s real name be necessary for an RTI request?

When applying for amendment/annotation of personal information When applying as a guardian of a 3rd party, next of kin/personal representative of a deceased person 4.
If you receive an oral RTI request, what does the RTI Act require you to do?

Reproduce into written form & provide a copy to applicant Act only applies to recorded information FINDING THE RECORDS REMEMBER: Not required to make up an answer Not required to find out information from elsewhere if it does not already exist in recorded form Since searching for records can be time consuming and failure to respond within the 30 day or an extended time period can be appealed: QUESTION IN YOUR OPINION.
WHAT ARE SOME PRACTICAL STEPS YOU COULD TAKE TO MEET YOUR RESPONSE DEADLINES & SHOW YOU CONDUCTED A THOROUGH SEARCH?

(Note taker – Poll Groups) The Search  Clarification - Will you need to clarify the request further?

This will determine scope (ex.

if the request is for a specific paper record, it may not be necessary to search your email).

 Reformulate – Public bodies are obligated to help applicants reformulate their requests to sufficiently identify the type of records they are seeking.
 Search Coordinator - RTI Officer or a member of his or her department will generally coordinate the search.

 Involve knowledgeable staff  Consult other business areas  Search Records in all formats/medium (e.g.
paper, electronic data, microforms, audio/video)  Consider active, semi-active and inactive records  Search varied locations - any location (on- site, off-site, off-line, central storage, staff filing areas, warehouses, Government Records Centre, etc) RECORDS CANNOT BE FOUND OR DESTROYED s. 24 The Notice:  Give full account of all steps taken in search  Give details of locations searched/person(s) You believe your agency has/had the records involved BUT: You cannot find them  Provide any evidence that the information was destroyed OR You had them but they were/might have been destroyed STEP: Notify applicant in writing within 30 days of receipt of request RECORDS SUBSEQUENTLY FOUND s. 24  Immediately notify the applicant in writing  Begin processing application  Determine, within 14 days, whether to grant the request  Notify applicant of decision in writing.
RECORDS FOUND (Responsive Records) Review records (involve others if necessary) Check for: Third Party Information (Personal/commercial & confidential info) & Exempt Information (Day 3) S. 31 Review Records for Third Party Information  Personal information of a third party  Commercial and confidential information of a third party Third Party Information s. 31 If RTI request involves personal/commercial and confidential information of 3rd Party Notice to Third Party  name of applicant/content of request RTI Officer must:  Notify third party within 14 days of receipt of the request  that personal information is exempt under Act  whether public interest override may apply & why  that applicant must respond to notice within 14 days to provide written or oral reasons why request must be refused.
RTI Officer must next:  decide to grant/refuse access whether the third party responds or not;  Notify third party of decision within 21 days of first notice and the right of appeal by applicant to the IC within 14 days  If access granted, give applicant access after time for appealing to IC (14 days) expires Review Records for Exempt Material If Exemption Applies If Exemption Not Applicable Or If Exemption Applicable but Public Interest prevails Deny Request (apply Public Interest test) If Parts Exempt Partial Grant (apply public interest test) Grant Full Access FULL GRANT (No Exemptions Apply) RESPONSE LETTER State:  Check with IC for any appeals on fee or form of access or from a third party  reproduction fee payable  If No, wait for time to appeal to run out form)  form of access (as requested or other  If yes, wait for IC decision (in this case, in favor of release)  applicant’s right of appeal to the IC on amount of fee and form of access.
.

PARTIAL GRANT RESPONSE LETTER s. 23 State: One or More Exemptions Apply to Part(s) of the Record  Information that is granted  Information that is denied  That exempt info is deleted  Applicant’s right of appeal.
ABOUT PARTIAL GRANTS OF ACCESS How to delete exempt information  photocopy record or portion of it containing the exempt information  use black marker to blank out exempt portion from photocopy  make another copy of the photocopy for release to the applicant  Insert exempt section applied in margin adjacent to blacked out areas.

 DEFERRAL OF ACCESS s. 22  information is a report for tabling in Parliament.
Access granted 5 days after presented and approved by Parliament  information is a report prepared for an official/official body.

Access granted after report presented/made available to person/body or upon expiration of 45 days from date of application, whichever is earlier RESPONSE LETTER  State:  Decision taken to defer  Reasons for the deferral  Period of deferment  publication of the information within particular period required by law relevant to the Gov’t agency/relevant private entity.
Access granted after expiration of period  Applicant’s right of appeal to IC (within 14 days of RTI Officer’s notice)  premature release of record would be contrary to the public interest.

Access granted after occurrence of any event, or expiration of any period after which release would not be contrary to the public interest.
RESPONSE LETTER CHECKLIST - Index of records requested in application - Document number for each record - Description of each record - Indication for each record whether access granted or refused or whether part or parts of the record deleted - For each record or part of a record refused, the provision of the Act under which access is refused - If access is being given in another form than requested by applicant and why - Fee information - Name and position of the decision-maker - Notice that the applicant may appeal the decision to the IC within 20 days - Notice that applicant’s appeal should include: the file number assigned by the government agency, a copy of the decision letter, and a copy of the original request.
IN FORM REQUESTED Copy/inspection at office/arrangements for applicant to hear or view sounds or visual images/in electronic form/ transcript s (print, sound or visual )/inspection of works/samples of materials.
s. 28 IN ANOTHER FORM  If applicant requests a different form of access OR If RTI Officer of the view that requested form of access:  would unreasonably interfere with entity’s operation  would be detrimental to the preservation of the information  involve infringement of copyright NOTE:  If applicant agrees to other form of access, fee charged must not exceed fee which would have been charged for form previously rejected .
s. 28(5) If RTI Officer is of the view that another form of access is necessary:  s(he) must offer to assist applicant to identify another form/manner reject the RTI request if offer of assistance is refused  RTI Officer must take reasonable steps to make information readable, viewable or heard by applicant with disability s. 28 (7) PERSONS WITH DISABILITIES NOTE: RE INSPECTION OF RECORDS AT OFFICE Ensure the record(s) is not defaced, changed, destroyed or stolen as a result of granting access SECURE THE RECORDS **Ensure an employee is present when access to the record is provided to the applicant ACCESS DENIED s. 18 RESPONSE LETTER State: Exemption (s) Applies  The exemption applied and relevant section  Reasons for the refusal  Applicant’s right of appeal to IC/timeframe for appealing   S. 82 About Grants of Access & Partial Grants of Access  Once access to Information granted, such information is deemed as being in the public domain NOTE Grants of Access to:  personal information of the applicant; or  the personal information of applicant’s next of kin, or person for whom applicant is the guardian or legal personal representative do not enter the public domain ABOUT COPYRIGHT s. 85  s. 85 - Grant of access not to be construed as authorization/ approval of breach of copyright under Copyright and Related Rights Act  Applicant is still bound by copyright Best Practice Tip  stamp the records to reinforce this (for ex.
"Copyright Act Applies to Use and Reproduction”) and/or  state author’s name/other indication of authorship on copies Payable  Copies, transcripts etc.

 Not to exceed VT 50,000 REFUNDABLE  All of Fee – Paid/access not provided in 7 days  None- If delay due to factors beyond RTI Officer’s control COLLECTION  Once applicant informed of grant of access/reproduction costs/how & where to pay.

 Paid at Gov’t cashier in the Dept.

of Finance.
NOTE: No copying until Payment Received Not Payable  Application itself  Search/examination/deletions  Copies of personal information to guardian of third party/next of kin/personal representative of deceased person  reproduction of information which is in the public interest;  failure to respond within deadlines Decision – Full/Partial Grant Decision - Deferral/Delay Ensure:  Fees are paid  Third party appeal rights have run out  Provide records within 7 days of payment of fee Notify applicant of reason for decision and How long the period of deferment will be 1.
Receive Request•Is the request in writing/does it mention RTI?•Does it provide sufficient detail to enable identification of the requested record(s)?

•If not, assist pplicant to rewrite the request.•Clarify/Narrow the request as needed•Date-stamp request/open a file /prepare tracking and recording form.2.

Do the Records Exist?•Do the records exist?

If not, notify the applicant and include right of appeal to the IC•Can the records be found?
If not, notify the applicant and include right of appeal to the IC•If records are found subsequent to the notice, proceed to process the request immediately3.

Do You have Custody or Control of the Records?•If not, make reasonable inquiries to determine where to transfer request/make transfer within 5 days of receipt of the request.
•Notify the applicant and include the name of the agency and the RTI Officer•If unclear where to transfer the request, notify the applicant that the records do not exist at that particular agency and that the applicant can appeal to the IC4.

Locate and Review the Records•Gather the records and review them.•Do they contain third party personal information?

If so, notify the person•Is a time extension required?

If so, notify the applicant•Check if any exemptions apply5.
Process the Request•Retrieve the records.•Determine what exemptions apply.•Determine if the public interest override applies.•Delete exempt content where necessary•Determine if fees are chargeable.6.
Grant Access•If access to whole or part of record is granted, determine method of access (copy or original).•If access is granted, denied or partial, give applicant notice of decision•If an affected third party is involved, give notice to third party of the grant of access•Collect fee chargeable, and provide record within 7 days •.Do not grant access until it is confirmed that no appeal is filed by 3rd party7.
Correct Personal Information•Verify the information to be corrected, correct the information or file a statement of disagreement.•Notify recent users of the personal information of the correction or statement of disagreement.8.

Complete the File•Document the request and all actions taken.•Close the file, unless an appeal is commenced s. 34  Who can apply?

Any person can apply in writing to amend his/her personal information  For what?

If information is incomplete, incorrect, out of date or misleading.
 How?

Apply in writing RTI Officer  Follow certain steps when deciding, including transferring it if the personal record is held by another agency or entity  Notify applicant and other relevant agencies of any amendments to applicant’s personal records.