Prescribing the People's Freedom of Information Manual for the Department of Finance

November 7, 2016 DOF DEPARTMENT ORDER NO. 061-16 SUBJECT : Prescribing the People's Freedom of Information Manual for the Department of Finance WHEREAS , Section 7, Article III of the 1987 Constitution guarantees the right of the people to information on matters of public concern, and provides that access to official records, and to documents, and papers pertaining to official acts, transactions, or decisions, as well as to government research data used as basis for policy development, shall be afforded the citizen, subject to such limitations as may be provided by law; WHEREAS , pursuant to Section 28, Article II of the 1987 Constitution, the State adopts and implements a policy of full public disclosure of all its transactions involving public interest, subject to reasonable conditions prescribed by law; WHEREAS , Executive Order No. 2 (2016) was issued by the President to operationalize in the Executive Branch the people's constitutional right to information and the State policies to full public disclosure and transparency in the public service and provide guidelines therefor; WHEREAS , Executive Order No. 2 (2016) directs every government office to prepare its own People's Freedom of Information (FOI) Manual; WHEREAS , based on jurisprudence, while access to official records may not be prohibited, it certainly may be regulated by a public officer pursuant to either statutory law or his inherent power to control his office and the records under his custody, by exercising some discretion as to the manner in which persons desiring to inspect, examine, or copy the record may exercise their rights; WHEREAS , there is a need to prescribe guidelines and procedures for requests for access to information, official records, and public records which are made, received, or kept in or under the control and custody of the DOF; NOW, THEREFORE , in consideration of the foregoing premises, the Freedom of Information (FOI) Manual of the DOF, attached to this Department Order and made an integral part hereof, is hereby promulgated. The Central Appeals and Review Committee of the Department of Finance-Office of the Secretary, as referred to in the FOI Manual, shall be initially composed of the following officials: Undersecretary, Legal Services Group Undersecretary, Revenue Operations Group ITAaHc Assistant Secretary, International Finance Group If any section or part of the FOI Manual is held unconstitutional or invalid, the other sections or provisions not otherwise affected shall remain in full force or effect. All orders, rules and regulations, memoranda, circulars and issuances or any part thereof inconsistent with the provisions of the FOI Manual are hereby repealed, amended or modified accordingly. The FOI Manual shall take effect fifteen (15) days after publication in a newspaper of general circulation. For the guidance and strict compliance of all concerned. (SGD.) CARLOS G. DOMINGUEZ Secretary ATTACHMENT Department of Finance Freedom of Information (FOI) Manual 1.0 Overview 1.1 Purpose This Freedom of Information (FOI) Manual is promulgated to prescribe guidelines and procedures to access information in the DEPARTMENT OF FINANCE pursuant to Executive Order No. 2 (2016) entitled "Operationalizing in the Executive Branch the People's Constitutional Right to Information and the State Policies to Full Public Disclosure and Transparency in the Public Service and Providing Guidelines Therefor," for the guidance of the public and the government officials concerned. 1.2 Responsibility The responsibility for all actions of the DEPARTMENT OF FINANCE carried out under this FOI Manual is hereby delegated to the Undersecretary for the Policy Development and Management Services Group (PDMSG). 1.3 Scope This FOI Manual shall cover requests for access to information filed with: the DEPARTMENT OF FINANCE-OFFICE OF THE SECRETARY (DOF-OSEC); and all the attached bureaus and agencies of the DEPARTMENT OF FINANCE, until such time as FOI manuals specific to each of the attached bureaus and agencies shall have been adopted and promulgated separately by the attached bureaus and agencies. 2.0 Definition of Terms For purposes of this Manual, the following terms shall mean: Information Shall mean any records, documents, papers, reports, letters, contracts, minutes and transcripts of official meetings, maps, books, photographs, data, research materials, films, sound and video recording, magnetic or other tapes, electronic data, computer stored data, any other like or similar data or materials recorded, stored or archived in whatever format, whether offline or online, which are made, received, or kept in or under the control and custody of any government office pursuant to law, executive order, and rules and regulations or in connection with the performance or transaction of official business by any government office. Official record/records Shall refer to information produced or received by a public officer or employee, or by a government office in an official capacity or pursuant to a public function or duty. Public record/records Shall include information required by laws, executive orders, rules, or regulations to be entered, kept and made publicly available by a government office. Personal Information Shall refer to any information whether recorded in a material form or not, from which the identity of an individual is apparent or can be reasonably and directly ascertained by the entity holding the information, or when put together with other information would directly and certainly identify an individual. The term shall cover information about a natural person, whether from the public or the private sector, the disclosure of which would constitute an unwarranted invasion of his or her personal privacy, which may include signatures, addresses, telephone numbers, identification numbers, family members, or similar information. Privileged Information Shall refer to any and all forms of data which under the Rules of Court and other pertinent laws constitute privileged communication. Sensitive Personal Information Shall refer to personal information: (1) About an individual's race, ethnic origin, marital status, age, color, and religious, philosophical or political affiliations; (2) About an individual's health, education, genetic or sexual life of a person, or to any proceeding for any offense committed or alleged to have been committed by such person, the disposal of such proceedings, or the sentence of any court in such proceedings; (3) Issued by government agencies peculiar to an individual which includes, but not limited to, social security numbers, previous or current health records, licenses or its denials, suspension or revocation, and tax returns; and (4) Specifically established by an executive order or an act of Congress to be kept classified. 3.0 General Guidelines 3.1 People's Right to Information Every Filipino shall have access to information, official records, public records and to documents and papers pertaining to official acts, transactions or decisions, as well as to government research data used as basis for policy development. There shall be a legal presumption in favor of access to information, official records and public records, and no request for access may be denied by the Department of Finance and its attached bureaus and agencies except under any of the following circumstances: CHTAIc a. The information requested falls under any of the exceptions provided for in the Constitution, existing law or jurisprudence, including: i. the items contained in the inventory of exceptions prepared by the Department of Justice and the Office of the Solicitor General, and circularized by the Office of the President, pursuant to Section 4 of Executive Order No. 2 (2016); ii. Personal Information, Privileged Information and Sensitive Personal Information, except the following: (1) Information about any individual who is or was an officer or employee of a government institution that relates to the position or functions of the individual; (2) Information about an individual who is or was performing service under contract for a government institution that relates to the services performed, including the terms of the contract, and the name of the individual given in the course of the performance of those services; (3) Information relating to any discretionary benefit of a financial nature such as the granting of a license or permit given by the government to an individual, including the name of the individual and the exact nature of the benefit; and (4) Personal information processed for journalistic, artistic, literary or research purposes. iii. information which is specifically authorized to be kept secret under guidelines established by an executive order, and in fact properly classified pursuant thereto: Provided , That 1) The information directly relates to national security or defense and its revelation may cause grave damage to the national security or internal and external defense of the State; or 2) The information requested pertains to the foreign affairs of the Republic of the Philippines, when its revelation shall unduly weaken the negotiating position of the government in an ongoing bilateral or multilateral negotiation or seriously jeopardize the diplomatic relations of the Philippines with one or more states; iv. information which consists of records of minutes and advice given and opinions expressed during decision-making or policy formulation, invoked by the Chief Executive to be privileged by reason of the impairment of the Chief Executive's deliberative process that would result from the disclosure thereof; v. information pertaining to internal and/or external defense, law enforcement, and border control, when the disclosure thereof would: (i) unduly compromise or interfere with any legitimate military or law enforcement operation; or (ii) unduly compromise or interfere with the prevention, detection or suppression of criminal activity, the effective implementation of immigration controls and border security; or (iii) deprive a person of a right to a fair trial or an impartial adjudication; or (iv) lead to the disclosure of the identity of a confidential source, including a government, or foreign agency or authority or any private institution which furnished information on a confidential basis, and, in the case of a record or information compiled by a law enforcement authority in the course of an investigation or by an agency conducting a lawful national security intelligence investigation, information furnished by a confidential source; or (v) disclose techniques and procedures for law enforcement investigations or prosecutions, or would disclose guidelines for law enforcement investigations or prosecutions if such disclosure could reasonably be expected to risk circumvention of the law; or (vi) endanger the life or physical safety of any individual; vi. information consisting of drafts of orders, resolutions, decisions, memoranda or audit reports by the Department of Finance, its bureaus and agencies, or any of their respective offices/units in the exercise of their adjudicatory and/or audit function; vii. information pertaining to trade secrets and commercial or financial information or intellectual property obtained from a natural or juridical person other than the requesting party, whenever the revelation thereof would seriously prejudice the interests of such natural or juridical person in trade, industrial, financial or commercial competition; viii. information classified as privileged communications in legal proceedings by law or by the Rules of Court, unless the person entitled to the privilege has waived it; ix. information of a nature that its premature disclosure would likely frustrate the effective implementation of a proposed official action: Provided , That the information shall be accessible once the anticipated danger has ceased. b. The information requested is not kept in or under the control and custody of the Department of Finance, or any of its attached bureaus and agencies, as the case may be, depending on where the request is filed; c. Any of the requirements, conditions, or procedure prescribed under this FOI Manual is not complied with, such as failure to state a legitimate purpose for the request, without prejudice to the re-filing of the request upon proper compliance with the requirements, conditions and procedure; EATCcI d. The information requested is already posted and available online; or e. The request substantially pertains to information previously requested by the same requesting party whose request has already been previously granted or denied by the Department of Finance. 3.2 Proactive Disclosure The Department of Finance and its attached bureaus and agencies shall regularly publish, print and disseminate at no cost to the public and in an accessible form, in conjunction with Republic Act No. 9485, or the Anti-Red Tape Act of 2007, and through their website, timely, true, accurate and updated key information including, but not limited to: a. A description of its mandate, structure, powers, functions, duties and decision making processes; b. A description of the frontline services it delivers and the procedure and length of time by which they may be availed of; c. The names of its key officials, their powers, functions and responsibilities, and their profiles and curriculum vitae; d. Work programs, development plans, investment plans, projects, performance targets and accomplishments, and budgets, revenue allotments and expenditures; e. Important rules and regulations, orders or decisions; f. Current and important database and statistics that it generates; g. Bidding processes and requirements; and h. Mechanisms or procedures by which the public may participate in or otherwise influence the formulation of policy or the exercise of its powers. 3.3 Accessibility of Language and Form The Department of Finance and its attached bureaus and agencies shall, as much as practicable, endeavor to translate key information into major Filipino languages and present them in popular form and means. 3.4 Keeping of Records The Department of Finance and its attached bureaus and agencies shall create and/or maintain in appropriate formats, accurate and reasonably complete documentation or records, policies, transactions, decisions, resolutions, enactments, actions, procedures, operations, activities, communications and documents received or filed with them and the data generated or collected. 3.5 Protection of Privacy While providing access to information, public records, and official records, responsible officials shall afford full protection to the right to privacy of the individual, as follows: a. Responsible officers under Section 4.0 shall ensure that Personal Information in the custody or under the control of the Department of Finance and its attached bureaus and agencies is disclosed or released only if it is material or relevant to the subject-matter of the request and its disclosure is permissible under this Manual or existing laws, rules or regulations; b. Each office/unit of the Department of Finance and its attached bureaus and agencies must protect Personal Information in its custody or control by making reasonable security arrangements against leaks or premature disclosure of Personal Information which may unduly expose the individual whose personal information is requested to vilification, harassment or any other wrongful acts; c. Any employee or official of the Department of Finance and its attached bureaus and agencies who has access, authorized or unauthorized, to personal information in the custody of the office, must not disclose that information except when authorized pursuant to existing laws, rules or regulations. 3.6 Proper Venue In the interest of efficiency, and in order that information requested may be released to the requesting party in the most expeditious manner, requests for information shall, as much as possible, be filed with the proper agency having custody of the requested information, with due regard to the respective mandates and official functions and duties of the Department of Finance and its attached bureaus and agencies. 3.7 Deadline for Processing of Requests Requests for access to information shall be processed by the Department of Finance, or its attached bureaus and agencies, as the case may be, as promptly as possible. Generally, the requested information, or the appropriate response to the request, shall be released to the requested party not later than fifteen (15) working days following the date of receipt of the request. Inaction within the period herein provided shall be deemed a denial of the request for access to information, without prejudice to the filing of the appropriate administrative action/s against the responsible officers. 4.0 Responsibilities FOI Receiving Office/Officer The Central Records Management Division shall act as the FOI Receiving Office of the DOF-OSEC. Each of the bureaus and agencies attached to the Department of Finance shall designate its own FOI Receiving Office/Officer, preferably from its Public Assistance of Information Office, or its equivalent. The FOI Receiving Office/Officer shall have the primary responsibility for the receiving of requests for access to information. It shall also have the following duties and functions: DHITCc monitor all FOI requests and appeals; provide assistance to the FOI Decision Maker; provide assistance and support to the public and staff with regard to FOI; compile statistical information as required; and conduct initial evaluation of the request and either (1) advise the requesting party that the request will be forwarded to the FOI Decision Maker for further evaluation, or (2) deny the request if the form is incomplete, or the information being requested is already disclosed in the official website of the Department of Finance or its attached bureaus and agencies, as the case may be, or at data.gov.ph. FOI Decision Maker The Undersecretary for PDMSG shall act as the FOI Decision Maker (FDM) of the DOF-OSEC. Each of the bureaus and agencies attached to the Department of Finance shall designate its own FOI Decision Maker, with a rank of not lower than a Director or its equivalent. The FDM shall have the primary responsibility for the evaluation of requests for access to information, and is authorized to grant or deny the request based on the provisions of this Manual. Central Appeals and Review Committee The Central Appeals and Review Committee (CARC) of the Department of Finance and its attached bureaus and agencies shall be composed of three (3) officials with a rank not lower than Assistant Secretary or its equivalent, designated by the respective heads of agencies. The CARC is authorized to review, motu proprio or upon application of any person, the grant or denial of request for access to information. 5.0 Procedure 5.1 Filing and Receiving Requests for Information 5.1.1 Any person who intends to request access to information shall prepare, in duplicate copies, a written request using the form prescribed under Annex "A" hereof. The request shall state the following: a. name and contact information of the requesting party; b. valid proof of his identification or authorization; c. reasonable and specific description of the information requested; d. reason for, or purpose of, the request for information; and e. requested mode of release of information ( i.e. , by electronic mail or by pick-up). 5.1.2 The request form shall be filed with the FOI Receiving Office/Officer, which shall receive the same after examining the valid proof of identification of the requesting party and after checking the compliance with the requirements specified above. 5.1.2.1 The FOI Receiving Office/Officer shall provide reasonable assistance, free of charge, to enable all requesting parties and particularly those with special needs, to comply with the request requirements under this Section. 5.1.2.2 In case the requesting party is unable to make written request because of illiteracy or due to being a person with disability, he or she may make an oral request and the FOI Receiving Office/Officer shall reduce it in writing. 5.1.2.3 The request may be made through electronic mail, provided that the requesting party shall attach in the e-mail scanned copies of the duly accomplished FOI Request Form and a duly recognized government ID with photo. For DOF-OSEC, e-mail requests may be sent to [emailprotected] . 5.1.3 The FOI Receiving Office/Officer shall assign a unique trace number for every request received, and both the two (2) copies of the written request form shall be stamped received, indicating the date and time of receipt and the name, position, signature of the receiving records officer. 5.1.3.1 The FOI Receiving Office/Officer shall determine the deadline for release of the requested document or the response of the Department of Finance or its attached bureaus and agencies, as the case may be, which shall be fifteen (15) working days from receipt of the request, unless an extension of time is requested by the FOI Decision Maker in accordance with Section 5.3.6 of this Manual. 5.1.3.2 One original copy of the FOI Request Form shall be returned to the requesting party and the other original copy shall be retained with the CRMD for processing of the request. 5.1.3.3 The FOI Receiving Office/Officer shall keep in its file a copy of the valid proof of identification of the requesting party. 5.2 Initial Evaluation by the FOI Receiving Office/Officer Immediately upon receipt of the FOI Request Form, the FOI Receiving Office/Officer shall conduct initial evaluation of the request, as follows: 5.2.1 If the information requested is posted online and publicly available in the website of the Department of Finance or its attached bureaus and agencies, or at data.gov.ph or foi.gov.ph, the FOI Receiving Office/Officer shall inform the requesting party and provide the website link where the information is posted. 5.2.2 The FOI Receiving Office/Officer shall also verify if the information requested is in the custody of the agency where the request is filed, and note the results of the verification for the consideration of the FOI Decision Maker. cEaSHC 5.2.3 The FOI Receiving Office/Officer shall also verify if the requested information is substantially similar or identical to a previous request by the same requesting party, and note the results of the verification for the consideration of the FOI Decision Maker. 5.2.4 The initial evaluation of the request shall be completed by the FOI Receiving Office/Officer within one (1) working day from the filing of the request, immediately after which the FOI Receiving Office/Officer shall forward the FOI Request Form with recommendation/s to the FOI Decision Maker. 5.3 Evaluation by the FOI Decision Maker 5.3.1 Upon receipt of the FOI Request Form, the FOI Decision Maker shall evaluate the same, and decide whether to grant or deny the request for access to information based on the provisions of this Manual. 5.3.2 The decision to grant or deny the request for access to information may be made wholly, as when it covers all items mentioned in the request, or partially, as when some items are approved and some are not. 5.3.3 In case of denial of the request, either wholly or partially, the FOI Decision Maker shall, within the prescribed period, notify the requesting party of the denial in writing. The notice shall clearly set forth the ground or grounds for denial and the circumstances on which the denial is based. 5.3.4 If further details are necessary in order to identify and/or locate the information requested, the FOI Decision Maker shall request for clarification from the requesting party. In such case, the deadline of fifteen (15) working days prescribed under Section 3.7 shall start to run only upon receipt of the clarification from the requesting party. 5.3.5 If the request pertains to information of interest to another government agency, the FOI Decision Maker shall first consult with the government agencies concerned on the disclosability of the information prior to making a final determination. 5.3.6 Under the following circumstances, the FOI Decision Maker may request for an extension of time, setting forth the reasons for such extension: the information requested requires extensive search of the records facilities; the information requested requires examination of voluminous records; occurrence of fortuitous events; or other analogous cases. In no case shall the extension exceed twenty (20) working days on top of the mandated fifteen (15) working days to act on the request, unless exceptional circumstances warrant a longer period. 5.4 Release of Information upon Approval of FOI Decision Maker In case of approval by the FOI Decision Maker, the FOI Receiving Office/Officer shall collate and ensure that the information is complete and released to the requesting party within 15 working days from receipt of the request for access to information. Prior to actual release, the FOI Receiving Office/Officer shall ensure that all items in the request were considered by the FOI Decision Maker. The FOI Receiving Office/Officer shall prepare the letter or email informing the requesting party within the prescribed period that the request was granted and directing the requesting party to pay the applicable fees, if any, pursuant to the provisions of this Manual. 5.5 Fees 5.5.1 The Department of Finance and its attached bureaus and agencies shall not charge any fee for accepting and processing requests for access to information. 5.5.2 However, the FOI Receiving Office/Officer may charge fees to cover reasonable costs of reproduction and/or authentication and certification, as the FOI Decision Maker may determine. 5.5.3 The Department of Finance and its attached bureaus and agencies may exempt any requesting party from the payment of fees upon the showing of a valid reason why such requesting party shall not pay the fee. A flowchart illustrating the procedure provided for in this Manual is attached is Annex "B" of this Manual. 6.0 Remedies in Cases of Denial of Requests for Access to Information 6.1 Administrative Appeal within the Agency A person whose request has been denied by the FOI Decision Maker may, within fifteen (15) calendar days from the notice of denial or from the lapse of the period to respond to the request, file an administrative appeal to the Central Appeals and Review Committee. The appeal shall be decided by the Central Appeals and Review Committee within thirty (30) working days from the filing of said written appeal. Failure to decide within the 30-day period shall be deemed a denial of the appeal. 6.2 Administrative Appeal to the Office of the President The denial of the appeal by the Central Appeals and Review Committee or the lapse of the period to decide on the appeal may be further appealed to the Office of the President under Administrative Order No. 22 (2011). 6.3 Judicial Review Upon exhaustion of administrative FOI appeal remedies, the requesting party may file the appropriate judicial action in accordance with the Rules of Court. 7.0 Tracking System for FOI Requests The FOI Receiving Office/Officer shall establish a system to trace the status of all requests for information received by it, which may be a paper-based, on-line or both. 8.0 Administrative Liability 8.1 Non-compliance with FOI Manual Failure to comply with the provisions of this Manual shall be a ground for the following administrative penalties: a. 1st Offense Reprimand b. 2nd Offense Suspension of one (1) to thirty (30) days; and c. 3rd Offense Dismissal from the service 8.2 Procedure in Administrative Cases The Revised Rules on Administrative Cases in the Civil Service, adopted and promulgated by the Civil Service Commission through Resolution No. 1101502 dated 08 November 2011 shall be applicable in the disposition of cases under this Manual. 8.3 Provisions for More Stringent Laws, Rules and Regulations Nothing in this Manual shall be construed to derogate from any law, any rules, or regulations prescribed by anybody or agency, which provides for more stringent penalties. 9.0 Miscellaneous Provisions 9.1 Separability Clause If any section or part of this Manual is held unconstitutional or invalid, the other sections or provisions not otherwise affected shall remain in full force or effect. 9.2 Repealing Clause All orders, rules and regulations, memoranda, circulars and issuances or any part thereof inconsistent with the provisions of this Manual are hereby repealed, amended or modified accordingly. 9.3 Effectivity This Manual shall take effect fifteen (15) days after publication in a newspaper of general circulation. ANNEX A FOI Request Form Template ANNEX B Process Flowchart