Freedom of Information Policy & Procedure
Version: V8
Ratified by: Finance and Investment Committee
Date ratified: 05/02/2025
Job Title of author: Information Governance Manager, IT and Data Services
Reviewed by Committeeor Expert Group Technology ProgrammeGroup
Equality Impact Assessed by: Information Governance Manager, IT and Data Services
Related procedural documents IGPOL35 - Records Management Policy
Review date: 05/02/2027
It is the responsibility ofusers to ensure that youare using the most up todate document template– i.e. obtained via the intranet.
In developing/reviewing this policy Provide Community has had regardto the principles of the NHS Constitution.
Version Control Sheet
Version Date Author Status Comment
V1 May2007 Information Governance Manager PolicyNumber MEIM&T17/18
V2 September 2010 Information Governance Coordinator Approved Reviewed
V3 February2012 Information Governance Coordinator Approved Reviewed
V4 January2014 Information Governance Manager Approved 2YearReview
V5 July2016 Information Governance Manager 2YearReview. Process changes (Appendix2)to includeComms finalcheck.
V6 March2019 IGandIT Projects Manager Approved 2YearReview
V7 April2021 IGandIT Projects Manager 2YearReview. Minor amendmentsto reflect current practice.
V8 December 2024 IGandIT Projects Manager 3YearReview. Minor amendmentsto reflect current practice.
1. Introduction
Information Governance requires all Health and Social Care 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 Informationqualityassurance.Current standardsandlegislationexamplesincludethe full implementation of the Freedom of Information Act 2000, ISO27001 International Standardfor Information Systems Security and Data Protection Legislation.
2. PolicyScope
Provide Group 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 provisionsoftheFreedomofInformationAct2000(FOI),anyCodesofPracticeissued pursuanttoitandtheEnvironmentalInformationRegulationsAct2004.ProvideGroup itself is not directly subject to the Act, as we are not a Public Authority.
This policy and procedures covers records created in the course of Provide Group business that are also considered to be public records under the terms of the Public Records Act 1958 and 1967.
3. PolicyStatement
ProvideGrouprecognisestheimportanceandvalueoftheFreedomofInformationAct 2000 and expects all staff to work to and within current legislation.
To assist our Public Authority Commissioners with compliance with the Act, the organisation willendeavour to ensure that:
Provide Group must transfer any request for information made under FOIA/EIR to the relevant Public Authority/Commissioner as soon as practicable after receiptandinanyeventwithintwo(2)WorkingDaysofreceipt,unlessotherwise agreed in line with contractual requirements.
Provide Group must also forward any information relevant to such requests within 5 working days of being asked to do so by the Public Authority/Commissioner, unless otherwise agreed in line with contractual requirements.
Iftheinformationrequestedissubjecttoanexemption,theorganisationwillliaise with the appropriate Public Authority/Commissioner 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(Section2(3)oftheAct).ThishastheeffectofexemptingPublicAuthorities
from confirming or denying that the information exists, or from disclosing the information at all.
Other sections direct authorities toweigh up whether the public interestin maintaining thebaronconfirmation/denialorinmaintainingtheexemptionisgreaterthanthepublic interestindisclosingwhetherthepublicauthorityholdstheinformation,orindisclosing the information at all. Appendix 1 shows a summary of the FOI Exemptions.
Theremaybeotherexemptions, for examplewherearequestisregardinganonNHS or Local authority commissioned service and is therefore out of the scope of the Freedom of Information Act 2000.
Thedecisiononwhetheranyexemptionappliestoanyrequestforinformationreceived 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 5 working days of the organisations’ receipt of the request from the Public Authority, unless otherwise agreed in line with contractual requirements.
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.
Group Chief Finance Officer
The Group Chief Finance Officer has overallresponsibility for FOI within the organisation. They willbe consulted wherethere are any serious concerns regardingthe release of information or withregards to contentious or vexatious requests.
The Assistant Director for Marketing and Communications
Will be consulted where significant media interest is likely to be generated from releasing any information as part of an FOI request.
The Assistant Director for Business Intelligence
WheretherearepossibleFOIexemptionsrelatingtoCommercialsensitivityandwhere commercial interests ofthe organisationmaybecompromised byreleasing requested information then the Assistant Director for Business Intelligence will be engaged.
The Information Governance Manager with support from the Information Governance team 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 tovisit 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 organisationspolicies,proceduresandprocesses,toenableeasyaccesswhen required.
The Finance and Investment Committee (FIC) will:
Review reports and progress on the organisations 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
TrainingisprovidedtostaffviaCorporateinductionunderInformationGovernanceand via mandatory annual IG Training.
8. Monitoring,Review,andAudit
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. Appendix1–FreedomOfInformation(FOI)Procedure
Introduction
A request can be made to ANY member of staff by ANY individual.
ArequestmaybeforwardedfromaCommissioningOrganisationoranyPublic 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 willtypically be subject tothe 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 likelytobetherelevantlegislation.Ifindoubtadviceshouldbesoughtfromthe Information Governanceteam.
Where a request refers specifically about the environment e.g. Health and Safety,waste,energyconsumptionetc.thenthisfallsundertheEnvironmental InformationRegulations(EIRs)(1992/2004).LiketheFOIacttheygiveaccess 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 working day statutory time limit for Public Authorities to respond to FOI requests. This starts from the moment the request is received into the organisation.Itmustberecognisedthatthisiswhenitisreceivedintothepublic authorityandnot intoProvide. Therefore, anyrequestsfor informationmustbe handled within 5 working days (unless otherwise agreed with the Public Authority/Commissioner) 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 3 for contacts)
Directing FOI Requests
Request Received into Provide directly form the requestor
i) Any requests received by Provide staff directly from the requestor (not Public Authority/ Commissioning organisations) must be promptly forwarded to the Information Governanceteam (see appendix 3 for contacts).
ii) The Information Governance team will evaluateand where applicable liaise with the relevant Public authority or advise the applicant on wheretosendtheir request.
iii) A request will, where applicable, then be made to the relevant lead within Provide to supply the information if applicable.
iv) The collated information will be forwarded to the Assistant Director for Marketing and Communications and the Assistant Director for Business Intelligence for final approval.
v) The Information Governance Team will collate and forwardthe information to the requesting public authority.
The full process is documented in Appendix 2
Logging aRequest
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 tobe supplied)
Requestor Source(e.g. Individual, Marketing, Press Association)
Originator Source (Public Authority)
Method by whichrequest was received (e.g. Email)
A description of the request
Services that the request will need to goto for response.
Date that information was sent topublic authority/ requestor.
The abovementioned information will be usedforreporting complianceandtoidentify any potential issues. Results will be reported on a quarterly basis to the Finance and Investment Committee.
Compiling Responses
• TheInformationGovernanceteamwillberesponsibleforcollatingandcompiling 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 Assistant Director for Marketing and Communications and the Assistant Director for Business Intelligence 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 effortto compile the response can be estimated from the body of the request and whether this is likely to significantly exceed thecost 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 determinedthattherearenoimmediateissueswithresponding,theneach 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 tosearch 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.
• WhentheserviceleadsprovideinformationtotheInformationGovernanceteam, 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 toDirector Level.
The Assistant Director for Business Intelligence and Assistant Director for Marketing and Communications will be engaged by the Information Governance team when there is any concerns regarding commercial sensitivity and/ or media interest.
• TheuseofanyExemptiontoanypartoftheinformationwillbefullydocumented.
• 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 5 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 mustbe notified immediately to discuss the situation.
10.ExemptionProcedure
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 tomake this decision, See Appendix 4 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 Group Chief Finance Officer and request assistance of legal advice as necessary. Applicants who submit numerous requests but relating to different topics must be responded to and do notfall under the exemption procedures for vexatious requests.
11.Complaints
Applicants may be unhappy if they feel that:
The timescales for disclosure have been breached.
The applicant didn’t receive all the information they required
The applicant does not agree with any exemption(s) applied
Whilst it is recognised that the complaint willbe directed to the Public Authority that the request has been directed to where the complaint relates to information provided byProvide then it will be dealt with in accordance with the organisations Concerns Complaints Compliments policy (CSPOL01)
The organisations designated Freedom of Information contacts areas follows:
Freedom of Information requests and responses should be forwarded to the Information Governance Department: provide.foi@nhs.net
Postal Address:
Information Governance
Freedom of Information
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.TheActalsoamendstheDataProtectionAct1998andthePublicRecords 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, thereare three competing rights:
The right of the public toaccess information;
The right of individuals toprivacy; and
The right of the public toexpect effective public services.
It is expected that exemptions will be used both sparingly and with great care. Not all of the exemptions in theAct lead to the withholding of information. Some simply refer the applicant toanother means of obtaining whatis 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 pursuanttothetermsoftheFreedomofInformationAct.AlthoughProvidecansuggest 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 accessibleto 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 havetorespondunderFOIAtorequestsforinformation.Thepurposeofthisexemption 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 ServiceAuthority;
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;
Serveduponthepublicauthority,orservedbythepublicauthorityforparticular proceedings; and
Which a court has created for the purpose of particular proceedings.
It alsoexempts information if it is heldonly by virtue of being contained ina 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
Thisexemptsinformationifthisisrequiredforthepurposesofavoidinganinfringement of parliamentary privileges.
ThepurposeofthisexemptionistopreserveParliament’ssolepowertocontrolitsown business.
Section 40 -Personal information
This exempts information
If it constitutes personal data of whichthe applicant is the datasubject;
If it is personal datarelating to athird 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 databy virtue of any provision of DPA Part IV.
The purpose of this exemption is toprotect 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 tomaintain 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 contemptof court.
The purpose of this exemption is to maintain in place certain existing restrictions on disclosure of information.
Non-AbsoluteExemptions
Section 22 -Information Intended for FuturePublication
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 thecircumstances towithhold 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 toensurethat national security is safeguarded.
Section 26 -Defence
This exempts information if its disclosurewould, 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 disclosurewould, or would be likely to, prejudice relations betweenthe UKand another state, international organisation or international court,UKinterestsabroad, orthepromotionorprotectionbytheUKofthoseinterests.
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 -Relationswithin theUnited Kingdom
This exempts information if its disclosurewould, 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 disclosurewould, or would be likely to, prejudice:
The economic interestsof the UK or any part of the UK; and
The financial interests ofany administration in theUK.
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 toconduct toascertainwhether 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)forthepurposesofitsfunctionsrelatingtothetypesofinvestigationsor criminal proceedings described above;
Other investigations conducted by an authority for the law enforcement purposeslistedbelow(wheretheyareconductedbyvirtueofpowersconferred by or under any enactment, or His Majesty's prerogative); and
Civil proceedings which are brought by or on behalf of the authority and arise out of such investigations.
Thepurposeofthisexemptionistoensurethatpublicauthoritieswithspecificcriminal lawresponsibilitiescancarryouttheiractivitiesinrelationtoinvestigationsandcriminal proceedings effectively. It also protects the supply of information from witnesses and informants.
Section 31 -Law Enforcement
This exempts information if its disclosurewould, 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 arisingoutofaninvestigationconductedforthelawenforcementpurposes(see box above); and
Any FatalAccidents andSudden 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 toensureeffective law enforcement.
Section 33 -Audit Functions
This exempts information if its disclosure would, or would be likely to, prejudice the exercise of apublic authority’s functions in relation to:
The auditing of the accounts of other public authorities; or
Theexaminationoftheeconomy, efficiencyandeffectivenesswithwhichother 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:
The formulation 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 PrivateOffice.
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 ofPublic 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 disclosurewould, 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
Thefreeandfrankexchangeofviewsforthepurposesof deliberationorwould 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. Rememberthatwherethepublicinterestindisclosureisequallyormoreimportantthe information must be disclosed.
Section 37 -Communicationswith His Majesty etcand Honours
This exempts information if it relates to:
Communications with His 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 candourin the honours process.
Section 38 -Health and Safety
This exempts information if its disclosurewould, or would be likely to, endanger
The physical ormental health of any individual, or
The safety of any individual.
The purpose of this exemption is toprotect 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).
Thepurposeofthisexemptionistoensurethatrequestsforenvironmentalinformation aredealtwithundertheaccesstoenvironmentalinformationregimesetoutinthenew EIR, which will differ insomerespects to the FOIA regime.
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 ifthe information were disclosed that wouldprejudice the way in which the organisation deals withtheproblem.
Essentially, itisacaseofweighinguptheneedfortransparencyandopennessbythe 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 interestsfrom prejudice.
This exemption is applied in circumstances where the disclosure of the information sought would affect either the organisations 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 oftheservice,thenthatcouldplacethewinningcontractoratadisadvantageforfuture 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 beatinordertosucceedintheprocess. Clearly,whilstthereisaneedfortransparency and openness by public authorities, preventing the organisation from undertaking proper commercial dealings would mean that this exemption could apply.
Equally,iftheapplicationrelatedtoresearchbeingundertaken,possiblyinconjunction withathirdparty,suchthatanewdrugorprocedurewasbeingdeveloped,thenitmay be that this exemption can be appliedto protect that information.
EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’
Name of project/policy/strategy (hereafter referred to as “initiative”):
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 governanceprinciples 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: 16/12/2024
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 ofrace(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 whethermen 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. Istherelikelytobeanadverseimpactononeormoreminority/under-represented or communitygroupsasaresultofthisinitiative?Ifso,whomaybeaffectedandwhy? 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 - significantenough 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) givereasonsforyouranswerandanystepsyouaretakingtoaddressparticularissues, including any consultation with staff or external groups/agencies.
Positive impact – ensures confidentiality, integrity and accessibilityof data and or information.
PolicytobemonitoredthroughtheorganisationIncidentReportingprocessand reviewed every 2years.
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:
(Tobeusedwherethe‘screeningphasehasidentifiedasubstantialproblem/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.Itwillhelpinformwhetheranyactionneedstobetakenandmayformpart of a continuing assessment framework as the initiative develops.
Q1. What data/information is thereon thetarget beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources?What areyour sources of dataand 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? Whichare 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/staffwhowillbeaffectedbytheinitiative? Summarise(bulletpoints)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 whichneed to betaken intoaccount?
Not Applicable
Q6. Howwilltheinitiativecontinuetobemonitoredandevaluated,includingitsimpact on particular groups/ improving communityrelations? 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.efa.org.uk – Employers forum on age © MDA 2007 EQUALITY IMPACT ASSESSMENTTEMPLATE:StageOne:‘Screening’
