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1. Introduction
Information is a vital asset in terms of clinical management of patients and the efficient management of services and resources. It plays a key role in clinical governance, service planning, performance management and improving Standards for Better Health.
Information Governance requires all Health Organisations to have comprehensive policies and procedures in place that conform to good practice and abide by the principles of openness, legal compliance, information security and Information quality assurance. Current standards and legislation examples include the full implementation of the Freedom of Information Act 2000, British Standards Institute BS7799/ISO17799/ISO27001 Code of Practice for Information Systems Security and Data Protection Legislation.
2. Policy Scope
Provide has an obligation to respond to requests from any public authority that it deals with in relation to that public authority’s statutory obligation to comply with the provisions of the Freedom of Information Act 2000 (FOI), any Codes of Practice issued pursuant to it and the Environmental Information Regulations Act 2004.
This policy and procedure covers records created in the course of Provides business that are also considered to be public records under the terms of the Public Records Act 1958 and 1967.
3. Policy Statement
Provides recognises the importance and value of the Freedom of Information Act 2000 and expects all staff to work to and within current legislation.
To assist with compliance with the Act, the organisation will endeavour to ensure that:
• Information is readily available upon request;
• The request for information is responded to as soon as possible and in line with contractual requirements, but in any case no later than 10 working days after receiving the request;
• If the information requested is subject to an exemption, the organisation will liaise with the appropriate Public Authority to determine whether the information can be released; and
• The assistance of legal advice will be sought, when necessary.
4. Exemptions
The rights within the Freedom of Information Act may be limited by the applicability of the exemptions. Several sections of the Act confer an absolute exemption on information (Section 2(3) of the Act). This has the effect of exempting Public Authorities from confirming or denying that the information exists, or from disclosing the information at all.
Other sections direct authorities to weigh up whether the public interest in maintaining the bar on confirmation/denial or in maintaining the exemption is greater than the public interest in disclosing whether the public authority holds the information, or in disclosing the information at all. Appendix 1 shows a summary of the FOI Exemptions.
There may be other exemptions, for example where a request is regarding a non-NHS commissioned service and is therefore out of the scope of the Freedom of Information Act 2000.
The decision on whether any exemption applies to any request for information received under the FOI Act is a decision for the Public Authority to whom the request is addressed Any concerns with the release of information and where there is felt that there are grounds for an exemption to be applied this will be discussed with the organisation from where the request has been sent from
5. Responsibilities
All staff, either as individuals or as members of groups will:
• Liaise and work with other employees responsible for information handling activities, e.g. Information Governance Manager Caldicott Guardian, Data Protection Officer, Customer Care, Communications team;
• Know that requests for information must be met within 10 days of the organisations’ receipt of the request;
• Supply the information back to the Information Governance team as soon as possible; ensuring that, where practical, it is supplied in the format requested;
• Take responsibility for any records created and adhere to the organisations Records Management procedures and processes. This is because any records created might be requested under the Freedom of Information Act in the future.
Executive Director of Finance and Corporate Governance
• The Executive Director of Finance and Corporate Governance has overall responsibility for FOI within the organisation. They will be consulted where there are any serious concerns regarding the release of information or with regards to contentious or vexatious requests.
The Communications Team:
• Will be consulted where significant media interest is likely to be generated from releasing any information as part of an FOI request.
The Commercial Team/ Programme Management Office (PMO):
• Where there are possible FOI exemptions relating to Commercial sensitivity and where commercial interests of the organisation may be compromised by releasing requested information then the Programme Management Office will be engaged.
The Information Governance Manager with support from the Information Governance Assistant will:
• Receive all specific written requests for information and implement Freedom of Information Act criteria to those applicable;
• Obtain the necessary information and documentation to fulfil requirements of the request;
• Respond to Freedom of Information requests by supplying the requirements in the format requested whenever possible, or by explaining the reasons for exemption Requests can be met by:
• Providing a copy of the original document;
• Providing a summary of the original document; and
• Allowing the applicant to visit to read the document (s).
• Maintain a log of all Freedom of Information requests received;
• Inform and advise the relevant committees, when appropriate, regarding any issues relating to FOI including exemptions and/or vexatious requests;
• Maintain the upkeep and availability of the Freedom of Information policy and procedure.
• Provide support, information and advice to relevant committees on the maintenance, review and update of the Freedom of Information Policy/Procedure.
• Promote Freedom of Information awareness throughout the organisation;
• Produce regular and ad-hoc reports for management.
• Maintain a directory of services and contacts within services to send requests to. Service Managers will:
• Ensure information is supplied to the Information Governance team, upon request.
• Ensure that information is created and stored in accordance with the organisations policies, procedures and processes, to enable easy access when required.
The Quality and Safety Committee and Finance and Investment Committee (FIC) will:
• Review reports and progress on the Organisation’s compliance with the Act;
• Report on Freedom of Information issues to the Board;
6. Implementation
Distribution and dissemination of this Freedom of Information policy will be in accordance with the organisations Policy on the Production and Control of Policies, Protocols, Guidelines and Procedures.
Retention of this policy will be in accordance with legal requirements and the organisation’s Records Management Policy
7. Training
Training is provided to staff via Corporate induction under Information Governance and via mandatory annual IG Training.
8. Monitoring, review and audit
An audit of this policy will be supported and informed by analysis of breaches of confidentiality and complaints from the public and through contract reviews with Commissioning organisations.
This policy will be reviewed every 3 years by the Information Governance and IT Projects Manager. Earlier review may be required in response to exceptional circumstances, organisational change or relevant changes in legislation
9. Appendix 1 –
Freedom Of Information (FoI) Procedure
Introduction
• A request can be made to ANY member of staff by ANY individual.
• A request may be forwarded from a Commissioning Organisation or any Public authority organisation that Provide has a contract with.
• A request does not have to mention that it is being made under the ‘Freedom of Information Act’. If in any doubt please contact the Information Governance Team.
• A request will typically be subject to the Freedom of Information Act, when it is asking for information related to the organisation and its operations, where an identifiable person is not the subject of the information requested. Where a person is the subject of information requested, then the Data Protection Act is likely to be the relevant legislation. If in doubt advice should be sought from the Information Governance team.
• Where a request refers specifically about the environment e.g. Health and Safety, waste, energy consumption etc then this falls under the Environmental Information Regulations (EIRs) (1992/ 2004). Like the FOI act they give access rights to any person and must be responded to within the same timescales as an FOI request. The same procedure must be followed for such requests.
• For a request to be bound by legislation, it must be in writing, which includes electronic communications.
• There is a 20-day statutory time limit for Public Authorities to respond to FOI requests. This starts from the moment the request is received into the organisation. It must be recognised that this is when it is received into the public authority and not into Provide. Therefore, any requests for information must be handled within 10 working days (unless otherwise agreed with the Public Authority) to allow time for the information to be collated and a response drafted Staff receiving a request for information should forward the request to the Information Governance department immediately and without delay (see appendix 4 for contacts)
Directing FOI Requests
Request Received directly into Provide*
i) Any requests received by members of Provide staff either directly from the requestor or forwarded from another member of staff (either within Provide or from another organisation) must be promptly forwarded to the Information Governance team (see appendix 4 for contacts)
ii) The Information Governance team will evaluate and where applicable liaise with the relevant public authority or advise the applicant on where to send their request. A request will, where applicable, then be made to the relevant lead within Provide to supply the information if applicable.
The Information Governance Team will collate, review and forward the information to the public authority.
*The full process is documented in Appendix 2
Request Received from Public Authority/ Commissioning organisations
i) All requests will be forwarded to the Information Governance team to review and will then send out to relevant lead within the organisation. ii) The Information Governance Team will collate and forward the information to the requesting public authority.
See flow chart in Appendix 3 for further information.
Logging a Request
Any request received by the Information Governance team that is subject to Freedom of Information legislation will be logged. The log will include the following:
• Unique reference number
• Date that the FOI request has been received.
• Target date (for when the information is to be supplied)
• Method by which request was received (e.g. Email)
• A description of the request
• Services that the request will need to go to for response.
• Date that information was sent to public authority/ requestor.
The above-mentioned information will be used for reporting compliance and to identify any potential issues. Results will be reported on an Annual basis to the Quality and Safety Committee and Finance and Investment Committee.
Compiling Responses
• The Information Governance team will be responsible for collating and compiling responses from the appropriate services.
• The Information Governance and IT Projects Manager is responsible for reviewing compiled responses before they are sent to the appropriate Public Authority/ requestor for release.
• All responses must be sent across to the Communications team for final approval.
• The Information Governance Manager has the authority to require any member of staff to provide the information relevant to the request within a specified time limit.
• The Information Governance Manager and service lead will determine the initial feasibility of a response in order to note whether:
• Time and effort to compile the response can be estimated from the body of the request and whether this is likely to significantly exceed the cost limits set in fee regulations
• Any Exemptions are clear at the outset. If it is clear that the request will exceed cost limits or one or more Exemptions (including the Public Interest Test) apply, then the Information Governance team and managers will compile an initial response detailing this to the requesting Public Authority.
They will provide an estimate of true cost where possible in case the requestor wishes to continue.
• If it is determined that there are no immediate issues with responding, then each identified service lead involved will be accountable for providing information required from their area. In providing information the lead will undertake the following steps:
• Engagement of appropriate staff in their work area
• Electronic and paper records searches
• Identification of key staff involved for them to search for relevant emails and notes they may have made
• Identification of information that they had concern about releasing, to see if exemptions should be applied.
• When the service leads provide information to the Information Governance team, indicating they have concerns about release, then the Information Governance Manager will be engaged to discuss the application of Exemptions, and a joint decision will be reached. If there is concern about Exemption decisions, then they will be raised with the Head of Service for that section of the organisation and if necessary raised up to Director Level.
• The Commercial team and Communications team will be engaged by the Information Governance team when there are any concerns regarding commercial sensitivity and/ or media interest.
• The use of any Exemption to any part of the information will be fully documented.
• Each identified service lead will be required to respond to requests within 48 hours to confirm that they hold the information and that they are able to supply. The information should be provided to the Information Governance department within 10 working days of receiving the request, or by the response deadline, whichever is sooner. If this deadline cannot be adhered to then the Information Governance team must be notified immediately to discuss the situation.
10.Exemption Procedure
The Information Governance and IT Projects Manager will report any exempted information requests and request assistance of legal advice as necessary. Any possible exemptions will be discussed with the Public Authority requesting the information. It is important to note that whilst the organisation may consider and suggest such exemptions, it is ultimately up to the public authority that has received the request to make this decision, See Appendix 1 for examples.
If the organisation receives a vexatious (repeated identical or substantially similar requests within a short time period) these will be discussed with the Public Authority Provide may not be obliged to comply with the request unless there has been a ‘reasonable interval’ between the requests, but this will ultimately be the decision of the public authority requesting the information.
The Information Governance Manager will inform Executive Director of Finance and Corporate Governance and request assistance of legal advice as necessary Vexatious applicants who submit numerous requests but relating to different topics must be responded to and do not fall under the exemption procedures.
11.Complaints
• Applicants may be unhappy if they feel that :
o The timescales for disclosure have been breached.
o The applicant didn’t receive all the information they required
o The applicant does not agree with any exemption(s) applied
• Whilst it is recognised that the complaint will be directed to the Public Authority that the request has been directed to where the complaint relates to information provided by Provide then it will be dealt with in accordance with the organisations Concerns Complaints Compliments policy (CSPOL01)
12.Appendix 2 - Freedom of Information (FOI) Procedure Flowchart
13.Appendix 3 - Freedom Of Information (FOI) Contacts
The Organisation’s designated Freedom of Information contacts are as follows:
Freedom of Information requests and responses should be forwarded to the Information Governance Department: provide.foi@nhs.net
Postal Address: Information Governance Provide
900 The Crescent Colchester Business Park Colchester
Essex CO4 9YQ
14.Appendix 4 – FREEDOM OF INFORMATION (FOI) EXEMPTIONS
Introduction
The Freedom of Information Act was passed on 30th November 2000. It gives a general right of access to all types of recorded information held by public authorities, sets out exemptions from that right and places a number of obligations on public authorities. The Act also amends the Data Protection Act 1998 and the Public Records Act 1958.
Subject to the exemptions, any person who makes a request to a public authority for that information must be informed whether the public authority holds that information. If it does, that information must be supplied, subject to certain conditions. This appendix will focus on the exemptions.
Exemptions
At times there will be the need to decide to not disclose information when requested. There is provision within the Act to enable organisations to make this decision when they feel that disclosure would undermine its effectiveness and functioning for example. In effect, there are three competing rights:
• The right of the public to access information;
• The right of individuals to privacy; and
• The right of the public to expect effective public services
It is expected that exemptions will be used both sparingly and with great care. Not all of the exemptions in the Act lead to the withholding of information. Some simply refer the applicant to another means of obtaining what is sought.
There are absolute exemptions and non-absolute exemptions. The list below outlines these.
Please note that these exemptions can be applied by Public Authorities who are pursuant to the terms of the Freedom of Information Act. Although Provide can suggest that some information that is being requested is exempted by one of the following exemptions it is ultimately down to the Public Authority (Commissioner) to decide whether to apply the exemption.
Absolute Exemptions
Section 21 – Information accessible to applicant by other means
This exempts information which is otherwise reasonably accessible to the applicant The purpose of this exemption is to prevent public authorities from having to provide information on request when the information is already publicly available and reasonably accessible to the applicant. It encourages public authorities to make available as much information as possible proactively, especially through their publication scheme.
Section 23 - Information supplied by, or relating to, bodies dealing with security matters
This exempts information supplied directly or indirectly by, or relating to, security bodies. The security bodies themselves are not subject to the FOIA, and so do not have to respond under FOIA to requests for information. The purpose of this exemption is to ensure that the same information cannot be obtained by a request to another public authority, and to
prevent other information relating to the security bodies from being disclosed. The security bodies are:
• The Security Service (MI5);
• The Secret Intelligence Service (MI6);
• The Government Communications Headquarters (GCHQ) including any unit, or part of a unit, of the armed forces required to assist GCHQ;
• The Special Forces;
• The National Criminal Intelligence Service (NCIS) and its Service Authority;
• The Security Commission;
• The Security Vetting Appeals Panel; and
• And various Tribunals relating to Investigatory Powers, Interception of Communications, Security Service, and Intelligence
Service Section 32 - Court records
This exempts information if it is held only by virtue of being contained in documents
• Filed with or placed in the custody of a court for particular proceedings;
• Served upon the public authority, or served by the public authority for particular proceedings; and
• Which a court has created for the purpose of particular proceedings
It also exempts information if it is held only by virtue of being contained in a document placed in the custody of, or created by, a person conducting an inquiry or arbitration for the purpose of those particular proceedings.
Section 34 - Parliamentary privilege
This exempts information if this is required for the purposes of avoiding an infringement of parliamentary privileges.
The purpose of this exemption is to preserve Parliament’s sole power to control its own business.
Section 36 - Prejudice to effective conduct of public affairs
This exemption relates to information held by a government department or by the National Assembly for Wales which is not exempt under Section 35 (formulation of government policy etc), and to information held by all other public authorities. It exempts information if, in the reasonable opinion of a qualified person (see definition of qualified person in the Act) its disclosure would, or would be likely to, prejudice:
• The maintenance of the convention of the collective responsibility of Ministers of the Crown; or
• The work of the Executive Committee of the Northern Ireland Assembly or the National Assembly for Wales or would, or would be likely to, inhibit
• The free and frank provision of advice; or
• The free and frank exchange of views for the purposes of deliberation.
or would otherwise prejudice, or would be likely otherwise to prejudice
• the effective conduct of public affairs.
Section 40 - Personal information
This exempts information
• If it constitutes personal data of which the applicant is the data subject;
• If it is personal data relating to a third party; and
▪ The disclosure of the information to a member of the public would contravene any of the data protection principles, or
▪ The disclosure of the information would contravene the right to prevent processing likely to cause damage or distress under DPA section 10, or
▪ The information is exempt from the data subject's right of access to personal data by virtue of any provision of DPA Part IV.
The purpose of this exemption is to protect the privacy of living persons.
Section 41 - Information provided in confidence
This exempts information if:
• It was obtained by the public authority from any other person; and
• The disclosure of the information would constitute a breach of confidence actionable by that or any other person.
The purpose of this exemption is to maintain legal confidentiality.
Section 44 - Prohibitions on disclosure
This exempts information if disclosure:
• Is prohibited by or under any enactment;
• Is incompatible with any Community obligation; and
• Would constitute or be punishable as a contempt of court.
The purpose of this exemption is to maintain in place certain existing restrictions on disclosure of information.
Non-Absolute Exemptions
Section 22 - Information Intended for Future Publication
This exempts information if:
• It is held by the public authority with a view to its publication at some future date; and
• It is reasonable in all the circumstances to withhold it until then.
The purpose of this exemption is to prevent public authorities from having to respond to individual requests in relation to items that will routinely be made available in accordance with the publication scheme (e.g. publication of daily, weekly or monthly statistics) and other items (e.g. reports) where it is reasonable for publication to be according to a planned timetable.
Section 24 - National Security
This exempts information if exemption is required for the purpose of safeguarding national security.
The purpose of this exemption is to ensure that national security is safeguarded.
Section 26 - Defence
This exempts information if its disclosure would, or would be likely to, prejudice:
• The defence of the British Islands (including the Channel Islands and the Isle of Man) or of any colony, or
• The capability, effectiveness or security of the armed forces of the Crown or forces co-operating with them.
The purpose of this exemption is to protect British defence, and the capability, effectiveness and security of the armed forces and those co-operating with them.
Section 27 - International Relations
This exempts information if its disclosure would, or would be likely to, prejudice relations between the UK and another state, international organisation or international court, UK interests abroad, or the promotion or protection by the UK of those interests.
It also exempts confidential information obtained from another state or international organisation or international court.
The purpose of this exemption is the effective maintenance of the UK’s international relations, and of its interests abroad.
Section 28 - Relations within the United Kingdom
This exempts information if its disclosure would, or would be likely to, prejudice:
• Relations between any administration in the United Kingdom and any other such administration.
The purpose of this exemption is to ensure effective relationships between the government of the United Kingdom, the Scottish Administration, the Executive Committee of the Northern Ireland Assembly, and the National Assembly for Wales.
Section 29 - The Economy
This exempts information if its disclosure would, or would be likely to, prejudice:
• The economic interests of the UK or any part of the UK; and
• The financial interests of any administration in the UK.
The purpose of this exemption is to safeguard the UK’s economic interests and the financial interests of the government of the UK, the Scottish Administration, the Executive Committee of the Northern Ireland Assembly and the National Assembly of Wales.
Section 30 - Investigations and Proceedings Conducted by Public Authorities
This exempts information if it has been held at any time by the public authority for the purposes of:
• Any investigation the authority is duty bound to conduct to ascertain whether a person should be charged with an offence, or is guilty of an offence they are charged with;
• Any investigation by the authority (or its officer) which may lead the authority (or its officer) to decide to institute criminal proceedings that they have power to conduct;
• Any criminal proceedings which the authority (or its officer) has power to conduct;
• It also exempts information if it relates to the obtaining of information from confidential sources, and it was obtained or recorded by the authority (or its officer) for the purposes of its functions relating to the types of investigations or criminal proceedings described above;
• Other investigations conducted by an authority for the law enforcement purposes listed below (where they are conducted by virtue of powers conferred by or under any enactment, or Her Majesty's prerogative); and
• Civil proceedings which are brought by or on behalf of the authority and arise out of such investigations.
The purpose of this exemption is to ensure that public authorities with specific criminal law responsibilities can carry out their activities in relation to investigations and criminal proceedings effectively. It also protects the supply of information from witnesses and informants.
Section 31 - Law Enforcement
This exempts information if its disclosure would, or would be likely to, prejudice:
• The prevention or detection of crime;
• The apprehension or prosecution of offenders;
• The administration of justice;
• The assessment or collection of any tax or duty or something similar;
• The operation of the immigration controls;
• The maintenance of security and good order in prisons or in other institutions where persons are lawfully detained;
• The exercise by any public authority of its functions for any of the law enforcement purposes;
• Any civil proceedings which are brought by or on behalf of a public authority arising out of an investigation conducted for the law enforcement purposes (see box above); and
• Any Fatal Accidents and Sudden Deaths Inquiry (in Scotland) arising out of an investigation conducted for the law enforcement purposes (see box above) by or on behalf of the authority
The purpose of this exemption is to ensure effective law enforcement.
Section 33 - Audit Functions
This exempts information if its disclosure would, or would be likely to, prejudice the exercise of a public authority’s functions in relation to:
• The auditing of the accounts of other public authorities; or
• The examination of the economy, efficiency and effectiveness with which other public authorities use their resources in discharging their functions.
The purpose of this exemption is to ensure that public authorities conducting public sector audits (including both financial and value for money type audits) can carry out their work effectively.
Section 35 - Formulation of Government Policy etc.
This exempts information, held by a government department or by the National Assembly for Wales, if it relates to:
• Theformulation or development of government policy (except statistical information used to provide an informed background to a policy decision that has been taken);
• Ministerial communications (again, except statistical information used to provide an informed background to a policy decision that has been taken);
• The provision of advice by any of the Law Officers or any request for the provision of such advice; or
• The operation of any Ministerial Private Office.
The purpose of this exemption is to ensure that government policy can be formulated effectively, and that Ministers and Law Officers can operate effectively, by allowing those involved to think in private.
Section 36 - Prejudice to Effective Conduct of Public Affairs
This exemption relates to information held by a government department or by the National Assembly for Wales which is not exempt under Section 35 (formulation of government policy etc), and to information held by all other public authorities. It exempts information if, in the reasonable opinion of a qualified person (see legislation for definition of qualified person), its disclosure would, or would be likely to, prejudice:
• The maintenance of the convention of the collective responsibility of Ministers of the Crown, or
• The work of the Executive Committee of the Northern Ireland Assembly or the National Assembly for Wales or would, or would be likely to, inhibit: - the free and frank provision of advice; or
• The free and frank exchange of views for the purposes of deliberation or would otherwise prejudice, or would be likely otherwise to prejudice;
• The effective conduct of public affairs.
The purpose of this exemption is to ensure the effective conduct of public affairs. Remember that where the public interest in disclosure is equally or more important the information must be disclosed.
Section 37 - Communications with Her Majesty etc and Honours
This exempts information if it relates to:
• Communications with Her Majesty, with other members of the Royal Family or with the Royal Household, or
• The conferring by the Crown of any honour or dignity.
The purpose of this exception is to give special protection to the Royal Family and Household, and to ensure frankness and candour in the honours process.
Section 38 - Health and Safety
This exempts information if its disclosure would, or would be likely to, endanger
• The physical or mental health of any individual, or
• The safety of any individual.
The purpose of this exemption is to protect the health and safety of individuals.
Section 39 - Environmental Information
This exempts information if it is a request for ‘environmental information’ covered by the new Environmental Information Regulations 2004 (EIR).
The purpose of this exemption is to ensure that requests for environmental information are dealt with under the access to environmental information regime set out in the new EIR, which will differ in some respects to the FOIA regime.
Section 40 - Personal Information
This exempts information
• If it constitutes personal data of which the applicant is the data subject;
• If it is personal data relating to a third party and the disclosure of the information to a member of the public would contravene any of the data protection principles; or
• The disclosure of the information would contravene the right to prevent processing likely to cause damage or distress under DPA Section 10; or
• The information is exempt from the data subject's right of access to personal data by virtue of any provision of DPA Part IV.
The purpose of this exemption is to protect the privacy of living persons.
Section 42 - Legal Professional Privilege
This relates to the normal type of privilege that is claimed on legal advice, although it is important that it has the requisite duty of privilege for that disclosure to be refused. Therefore, advice on how to deal with a specific problem and tactics which the organisation may wish to adopt might well be exempt, because in weighing the public interest it is apparent that if the information were disclosed that would prejudice the way in which the organisation deals with the problem.
Essentially, it is a case of weighing up the need for transparency and openness by the public authority, against enabling the organisation to properly undertake its functions and operate effectively.
Section 43 - Commercial Interests
The purpose of this exemption is to protect trade secrets, and to protect other commercial interests from prejudice.
This exemption is applied in circumstances where the disclosure of the information sought would affect either the organisation’s or a third party’s commercial interests.
For example, if somebody sought disclosure of the complete content of a winning tender submission, which may include sensitive information on pricing and provision of the service, then that could place the winning contractor at a disadvantage for future tenders, whilst the person who has received it, as well as other potential bidders, at a distinct advantage in that they would have a reasonable idea of what they needed to beat in order to succeed in the process. Clearly, whilst there is a need for transparency and openness by public authorities, preventing the organisation from undertaking proper commercial dealings would mean that this exemption could apply.
Equally, if the application related to research being undertaken, possibly in conjunction with a third party, such that a new drug or procedure was being developed, then it may be that this exemption can be applied to protect that information.
EQUALITY IMPACT ASSESSMENT
TEMPLATE: Stage 1
Freedom of Information Policy & Procedure
Provide a brief summary (bullet points) of the aims of the initiative and main activities:
To enable staff to conform to good practice and abide by the governance principles of openness, legal compliance, information security and Information quality assurance within a framework of networking and information sharing
Project/Policy Manager: Information Governance Manager Date: 04/08/2016
This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.
Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.
Neutral
Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?
Neutral
Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.
Positive impact – ensures confidentiality, integrity and accessibility of data and or information.
Policy to be monitored through the organisation Incident Reporting process and reviewed every 2 years.
Guidelines: Things to consider
• Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.
• The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.
• Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.
• Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.
• Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?
• It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.
• It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.
EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 2:
(To be used where the ‘screening phase has identified a substantial problem/concern)
This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops.
Q1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps?
Not Applicable
Q2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how? Which are the main groups it will have an impact on?
Not applicable
Q3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women?
Not applicable
Q4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation.
Not applicable
Q5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account?
Not applicable
Q6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required.
Not applicable
Guidelines: Things to consider
• An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised.
• It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative.
• The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action.
• If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.
Further information:
Useful Websites
www.equalityhumanrights.com Website for new Equality agency www.employers-forum.co.uk – Employers forum on disability www.disabilitynow.org.uk – online disability related newspaper www.efa.org.uk – Employers forum on age
