Tommy Kane University of Strathclyde School of Applied Social Sciences (Sociology)

1. Tommy Kane University of StrathclydeSchool of Applied Social Sciences(Sociology) Research Information Network Freedom of Information Workshop 12th April 2011

2. Structure • Research and Methods • Use of FOI • Advantages • Data Gathering • Notable Data • Lessons • Problems • Exemptions • Dissemination and knowledge transfer • Conclusions

3. Corporatisation of Water and Wastewater Services (WWS) in Scotland • To consider the new corporatised nature of WWS. • A triangulation approach • Primary Documentation • Secondary Documents • Ethnographic study • Interviews/ Personal Contacts • FOI Later…but becomes a central method

4. FOI Advantages • It allows us to scratch beneath surface, to interrogate official statements & public relations • A much broader and holistic set of data is found. • Research enhanced through the substantiation FOI provides

5. Shadow Boxing and cordial or distrustful relations…? • FOI - “bad mannered data gathering”? • Avoid FOI on that basis and welcome compromise • Initially shmoozed…lunch, coffee. • No need for FOI, we will provide interviews instead… • Shadow Boxing • Inadequate.. • Yes, cultivate good relations but eventually….

6. Data Gathering • Trawling…(now problematic) • Diaries • Correspondence • Board Papers • Minutes of meetings, sometimes obscure often unknown committees

7. Notable Data • Water Industry Commission for Scotland report into ‘Alternative Ownership Structures for Scottish Water’ • Important Information in relation to Scottish Water PFI projects • The Current Scottish Government Policy Development Process into the future of Scottish Water

8. Practical Lessons from FOI Data Gathering • Specific and clear requests • Patience; organisation; diligence; • Manageable – not to many at once…but • Try not to ask for too much but… • Keep a running Log – administrate once or twice a month • You need to become adept at navigating the legal process (reviews, appeals, exemptions, public interest test)

9. Problems • Time consuming, bureaucratic and uncertain. • FOI should never be the sole method. • No access to private companies operating public services • Have Public authorities provided the resources to effectively implement and have they fully embraced the spirit of the law? • “Open access – Empty Files” (Jones & Flinn) • Examples of this have emerged in the course of my research

10. The Case of the WICS • Appeal to the SIC; after investigations the SIC stated, • “In the meeting with WICS it was explained that the WICS’s Directors do not record information as a result of meetings or conversations and take a mental note.  If actions are required the directors will advise the appropriate staff verbally.  My own view is that such informal practices are very surprising and I questioned the WICS staff I met several times about this informal practice and the effects that it had on their work, these individuals confirmed each time I asked the question that notes or such records were not kept. In addition last year new server hardware was put in place which resulted in a radical overhaul of the information held, with information being destroyed that no longer had use and tight restrictions are placed on the amount of information individuals can hold on in their emails, so information is routinely deleted” • Diaries sought from the WICS Chairman and Chief Executive. In 2008 I was provided their diaries. • In 2010, it transpires that they do not keep a diary. • Open Access – Empty Archives….?

11. Exemptions • Uncooperative Public Authorities • Various Exemptions used as justification • Policy Development: Section 29 (1) (a) "Information is exempt information if it relates to the formulation or development of government policy and section 30 (b) states that "Information is exempt information if its disclosure under this Act would, or would be likely to, inhibit substantially the free and frank provision of advice; or the free and frank exchange of views for the purposes of deliberation" • Cost – Scottish Government Civil Servants advice to Ministers • Commercially sensitive – Scottish Water dialogue Rothschild’s 33 (1) (b) • Various requests described as manifestly unreasonable by Scottish Water under the EIR’s – after the SIC facilitated negotiations info was provided. • Vexatious – the SG have recently stated that requests made by me were “vexatious and “manifestly unreasonable and disproportionate, are designed to cause disruption or annoyance or at least have the effect of harassing the Scottish Government”. • The WICS have recently used Section 8 of the Freedom of Information (Scotland) Act 2002 provides the right to information rather than a right to specific documents. According to the WICS “This was clarified by the Court of Session in the case of Glasgow City Council v Scottish Information Commissioner”.

12. Data Analysis, Dissemination and Knowledge transfer • Publish Articles • Local Communities • MSP’s • The Case of Dalmuir • Media

13. Knowledge Transfer, Seafield and the Value of FOI • March 27th Sunday Herald, 2 stories detailing and outlining problems at Seafield WWTW’s. • “This is damning evidence of the dangers of handing control of public services to private firms” • “Edinburgh Residents sick and tired of foul smell” • I write regarding your story concerning our improvements to the Seafield Waste Water Treatment Works in Leith (Edinburgh residents "sick and tired" of foul smells, News, March 27). As a result of listening to local concerns, we are undertaking a plan of action under the terms of the Seafield Odour Improvement Plan (approved by the City of Edinburgh Council in May 2008) and the Sewage Nuisance (Code of Practice) (Scotland) Order 2006.Your report focused on 10 years of history of part of our waste network. It failed to recognise the improvements being carried out which have resulted in all the waste-water treatment plants meeting compliance standards set by SEPA, Scottish Water and the Seafield works operator, Veolia PLC, remain committed to improving the performance of this important works for Edinburgh. We hold regular stakeholder meetings attended by community groups and we also keep local customers informed as work progresses”. (John Telfer Head of PFI Scottish Water).

14. Conclusions • FOI as part of a triangulation approach • Can enrich research, providing vital information for researchers • There is a danger of a Open Access-Empty Archive situation • Overall FOI is a welcome addition to the researchers toolbox