UNCLASSIFIED IFTS Manual

Information Fair Trader Scheme Manual

1 Principles & Commitment 1

Background 1

Five Principles 1

2 IFTS Accredited Verification Methodology 2

General Approach 2

Testing Framework 4

Activities 8

Document Review 8

Website review questions 10

Standard Licence Review 15

Interviews 16

Licensing File Review 17

Other Procedures 21

Issues List 21

IFTS verification checklist 22

Report and Recommendations 23

Priorities 23

Monitoring recommendations 23

Risk & Re-verification 25

The Re-verification process 26

3 IFTS Online Methodology 27

4 Training 31

5 Freedom of Information 32

6 Complaints 33

7 Appendix 1: Verification Report pro-formas 34

This document is dynamic and will be updated as processes develop.

© Crown copyright 2007

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

1  Principles & Commitment

Background

The Cross-Cutting Review of the Knowledge Economy set out practical steps for the Government to promote the re-use of Government information in innovative products and services. The Controller of HMSO is responsible for Crown copyright and therefore has responsibility for implementing three critical decisions of the Review that changed arrangements for the management of Crown copyright:

·  Core Government information from central Government Departments, but not Trading Funds, is to be made available for re-use at no more than the marginal cost of supplying it.

·  Information from central Government Departments where they have added value should be licensed at market prices.

·  A repositioned HMSO should regulate the licensing decisions of the Trading Funds, whose pricing and dissemination policies should be improved.

The Controller of HMSO has offered Government Trading Funds permission to make licensing decisions on Crown copyright information on her behalf: though some prefer the Information Policy Division to administer licences, some have accepted the responsibility. The Controller consulted the public about the regulatory regime to put in place. The outcome was the Information Fair Trader Scheme.

Since 2004, the focus of IFTS has shifted from concentrating on Crown copyright licensing within government trading funds, to the licensing of Crown and non-Crown copyright information throughout the wider public sector. This has mainly been because of the introduction of the Regulations on Public Sector Information 2005.

The IFTS principles are not particular to Crown copyright organisations and can be applied to any public sector organisation. The purpose of IFTS is to ensure that re-users of public sector information, whether in the voluntary, professional or commercial sectors, can be confident that they will be treated reasonably, consistently and fairly by public sector information providers.

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

Five Principles

The key characteristics of a fair information trading system include openness, transparency, fairness, compliance and challenge. These terms are defined as follows:

Openness

The Chief Executive commits that in principle all information created by the organisation will be licensed for any use, by any customer. While there might have to be exceptions to this, whether limiting the material licensed, prohibiting uses or limiting the customer base, the Chief Executive will be reluctant to allow exceptions and will explain why they are necessary. Any new exceptions should be discussed with OPSI.

Transparency

Applying for a licence, not only the process, but the prices, the considerations influencing pricing policy, and any exceptions to the principle of openness, should be explained clearly and simply in accessible public statements. Licensees and applicants for licences should be given reasons for decisions and the reasons should be consistent with public statements and Information Fair Trader principles.

Fairness

All applicants and licensees should be treated alike for the same type of licence; this includes treating internal and external customers the same for the same type of re-use. The organisation should not use its market power to compete unfairly.

Compliance

Chief Executives agree to test their organisations by an independent verification to find out whether they have the infrastructure to deliver their commitments to openness, transparency and fairness. The verification tests whether the administrative processes are actually followed in practice.

Challenge

The organisation has a complaints process empowered to reconsider incorrect licensing decisions. OPSI can investigate the organisation's licensing decisions if they appear to be wrong or inconsistent.

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

2  IFTS Accredited Verification Methodology

General Approach

The verification process involves carrying out sufficient activities to form an audit judgement. Judgement and experience will be used to determine the scope and extent of audit testing required to provide an adequate level of assurance. Testing should be in proportion to the level of the activity under review.

IFTS Accredited requires each Chief Executive of a candidate organisation to commit to trading openly, transparently and fairly in information. Once a Chief Executive has declared the commitment, the underlying administrative and decision-making processes of the organisation are to be examined to verify that they support the Information Fair Trading commitment of the Chief Executive. If the organisation’s structure can be verified, the Controller will certify that the organisation is a Fair Information Trader. If not, unless remedies are put in place, the certificate will not be awarded. The overall purpose of the verification is therefore to test the commitment.

The verification process is based on establishing whether the key outcomes of Openness, Transparency, Fairness, Compliance and Challenge are achieved. These outcomes are matched across a number of areas of activity of the organisation where we might expect to see these key outcomes achieved. The approach is therefore based on a matrix model, the Testing Framework, which takes each of the outputs and shows how work in each of the areas of activity demonstrates compliance. The Testing Framework can be seen on the next page.

There are a number of key business areas in public sector bodies that should be verified. Each of the areas is divided as necessary into areas of verification focus. The key business areas, and the areas of verification focus, fall under the following headings:

Business Area / Verification Focus
Service Offering / Understanding of Licensing
Pricing
Terms and Conditions
Access / Access to and re-use of public sector information
Websites and equivalents
Internal Processes / Staff responsibilities and delegations
Exceptions handling
Costs and Cost allocation
Complaints handling
Standards / Service standards
Strategic Management / Business objectives and performance indicators
Management supervision of compliance
Relationship with OPSI / Commitment to IFTS
External Constraints / Competition Act 1998
Financial targets

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

Testing Framework

Notes:

  1. The testing framework is based on the headings at figure 1.
  2. This is a general checklist for testing; not all tests will apply.
  3. For all tests we will be examining progress towards achievement, rather than complete compliance, as appropriate.

Business Area / Verification Focus / P / Specific Tests
Service Offering / Understanding of Licensing / The organisation’s policy on licensing is clearly stated
If the organisation has a delegation of authority from the Controller of HMSO, then that policy is in accordance with the delegation.
OPSI guidance on access to public sector information has been incorporated into the organisation’s policies and practices
Pricing / Charges are in accordance with HM Treasury guidance (or other relevant guidance if not central government)
Charges are in accordance with the organisation’s own policy
Pricing policy is explained internally and publicly
Users have confidence in fair licence pricing
The nature and value of the material are fairly reflected in the terms and prices charged to licensees
Internal re-users are charged fairly in comparison with external licensees
Terms and Conditions / Standard licences are available to applicants
Terms and conditions are provided within 20 working days of application.
Access / Access to and re-use of public sector information / The commitment to maximising the re-use of public sector information is clear, and supported by specific actions in the business plan
The organisation seeks to understand the needs of information re-users and end-users
There are appropriate mechanisms for logging feedback from re-users
Websites and equivalents / There is a publicly accessible information asset list
The role of licensing is publicly explained
The availability of different types of data is made clear
All potential uses of material are covered, within reason
There is adequate guidance on how to apply for a licence
The end-to-end process of obtaining a licence is satisfactory for the applicant
There is a clear description of where a non-standard licence (exception) will be required
Licensing fees are published
Pricing policy is explained
Enquiry and complaints procedures are clearly explained
Internal Processes / Staff responsibilities and delegations / The commitment to Information Fair Trading is assigned to a named senior manager
The commitment to maintaining sections about information re-use on the website is allocated to a named individual
Licensing staff are given sufficient guidance on the standards of openness,, fairness and transparency to apply
Personal objectives reflect the organisation’s aims for openness, transparency, fairness and compliance
Accountabilities for dealing with compliance are clear and unambiguous
Accountability for dealing with complaints is clear and unambiguous
Exceptions Handling / Potential and actual exceptions are reported to and reviewed by those accountable for setting and maintaining standards
The bases upon which exceptions are made or refused are fair
There is consistency in the treatment of exceptions regardless of the applicant or licensee
There are procedures for dealing with the impacts of exceptions, new policies or re-interpretation of policies, on existing licensees
The need for “permanent” exceptions such as for joint ventures and reciprocal arrangements with other governments has been identified and agreed at an appropriately senior level
The need for such exceptions has been discussed with OPSI
Costs and Cost Allocation / Up-to-date and timely cost information is generally available to staff who need it
The cost allocation methodology is clear and simple
Cost allocation bases are logical and sensible
Cost allocation methods do not conceal or encourage cross-subsidies
Issues in cost allocation are identified and reviewed at an appropriately senior level
Complaints Handling / Robust systems are in place
Depending on scope and scale of complaints, best practices in complaints handling have been adopted
Complaints about licensing are given the same level of attention that other complaints are
The role of OPSI in investigating complaints is made clear
Standards / Service Standards / A service standards commitment is published
Service standards are adequate
Performance against service standards is monitored and acted upon
Strategic Management / Business Objectives and Performance Indicators / Explicit objectives (quantified and date-specific wherever appropriate) are established for key items related to the commitment to Information Fair Trading, such as improving access to public sector information
These objectives are made known to the staff responsible for their achievement
There is a clear commitment to ensuring all information that can be made available is made available
Clear guidance is given that fairness to licensees and between licensees is a corporate value
A realistic action plan details how the organisation will ensure compliance
Management supervision of compliance / Proactive Policies are driving the wider use of material
There is a formal programme for reviewing legacy licences
Information Fair Trading compliance requirements are built in to policies and procedures
There are explicit and effective compliance processes
Action is taken whenever compliance performance fails
There is a proper balance of Information Fair Trading compliance and other strategic objectives
Complaints procedures are soundly designed and managed
There are effective systems and procedures which support the delivery of Information Fair Trading in practice
Relationship with OPSI / Relationship of organisation with OPSI / The role of OPSI is understood in the organisation, and reflected in policies and procedures (particularly for those organisations with delegations)
There is dialogue between OPSI and organisations with delegations on any issues arising in connection with licensing
External Constraints / Competition Act 1998 / Robust procedures are in place for achieving compliance with the Competition Act
Financial Targets / Where necessary any impact of the financial targets on the commitment to Information Fair Trading is assessed and disclosed
Re-use of Public Sector Information Regulations 2005 / Robust procedures are in place for achieving compliance with the Regulations

26

Last updated: 26/09/2007

S:\Standards\IFTS\IFTS (full)\IFTS Procedures & General\IFTS Manual 05.09.07.doc

UNCLASSIFIED IFTS Manual

Activities

Document Review

[off site and on site]

Documents will be requested by OPSI from the organisation for review by the verification team. A document checklist is provided to the organisation but it is not exhaustive. An organisation is invited to submit any documentation it feels demonstrates its commitment to information fair trading or to enable the verification team to gain a deeper understanding of the organisation’s trading activities. A pre-verification report will be produced based on this information for the benefit of the verification team.

Document Checklist
The purpose of the audit is to examine the commitment to Information Fair Trading given by the Chief Executive of the organisation. The organisation is therefore encouraged to provide such information as is considered necessary to provide support for that commitment. We would normally expect to see some or all of the following, although of course further information can be given. Please indicate which documents are being provided and return a copy with the documentation.
Documentation / P
A brief written summary of the business and of its licensing activity
Current version of the Commitment to Information Fair Trading given by the Chief Executive
Supporting papers for that commitment, such as analysis papers and Board briefings
Policy statements and internal guidance on: / Information Fair Trading
Licensing of information for re-use
Dealing with Intellectual Property infringement
Service Standards and Complaints handling
Competition Act 1998
Re-use of Public Sector Information Regulations 2005
Organisation structure / Overall for the organisation showing where licensing responsibilities lie
Detailed structure for licensing department
Delegated responsibilities for staff in relation to licensing
Published guidance on copyright, licensing and pricing for applicants and licensees
Summary of licence types offered
Standard terms and conditions for use of information
Supporting papers for pricing including: / Policy statements
Pricing Schedule
Supporting schedules of calculations, including cost information
Income from licensing
Business Objectives, especially with regard to licensing / Business Plan
Relevant management or working group reports
Framework Document
Annual Report and Accounts for most recent financial year
List of Licensing Case Files and corresponding work allocation

26