EQUALITY AND HUMAN RIGHTS STRATEGIC GROUP by 3x702mPw

VIEWS: 3 PAGES: 31

									                  ‘Championing social inclusion across the South East Region’




  SOCIAL INCLUSION PARTNERSHIP SOUTH EAST




            BLACK AND MINORITY ETHNIC TASK GROUP



             EQUALITY IMPACT ASSESSMENT (EQIA)



                      TEMPLATE & GUIDANCE




2007/2008
                            CONTENTS

1.    Introduction                                1

2.    Acknowledgement                             2

3.    Why is there a need to carry out an EQIA    2

4.    The scope of this document                  3

5.    When to carry out the EQIA                  3

6.    Basic Principles of the EQIA                4

7.    Flow Chart for EQIA                         5

8.    The screening process                       6

9.    EQIA Cycle                                  7

10.   Preparation                                 8

11.   EQIA Initial Screening Checklist           9-12

12.   Full EQIA                                  13-16

13.   EQIA Summary                               17-18

14.   EQIA Summary Table                         19-21

15.   EQIA Action Plan Template                   22

16.   Appendix 1: General Guidance               23-25

17.   Appendix 2: EQIA Terminology               26-28

18.   Appendix 3: Levels of Impact                29
  SOCIAL INCLUSION PARTNERSHIP SOUTH EAST
                BLACK AND MINORITY ETHNIC TASK GROUP

                   EQUALITY IMPACT ASSESSMENT (EQIA)



INTRODUCTION

This guidance has been produced to help carry out a robust Equality Impact
Assessment, a requirement under the Equalities Legislation.

“Impact Assessment is a systematic way of finding out whether a policy, function
or service (or one which is proposed) affects different groups differently. It should
be part of normal policy making process” (Commission of Racial Equality 2003)

An Equality Impact Assessment is a thorough and systematic analysis of a policy,
(for the purpose of this document ‘policy’ will encompass strategy, proposal,
function or service) and determines the extent of differential impact upon
particular groups. Impacts can be positive, negative and even neutral.

The process of the Equality Impact Assessment is to ensure that individuals and
teams consider the likely impact of their work on users of services, local
communities and staff. The process involved in carrying out an Equality Impact
Assessment is not an end in itself. The aim of the assessment is the promotion of
equality of opportunity and the outcomes are of primary concern.

There is an emphasis and focus on assessing the impact on the equality target
groups.

Equality Impact Assessment therefore focuses on systematically assessing the
likely impact of a policy. It anticipates the consequences of these on people with
the aim to eliminate or minimise any negative consequences, at the same time
creates opportunities for ensuring equality in service provision and delivery as
well as in employment.

Equality Impact Assessment covers the following equalities target groups as set
out under the Legislation.

Age – Disability – Gender – Race – Religion/Belief – Sexual Orientation
                                                                                   1
The equalities scope is widened at the initial screening but categories basically fit
into the 6 equality strands above.

ACKNOWLEDGEMENT

Thanks to SEEDA for funding the training on EQIA for the Task Group

WHY IS THERE A NEED TO CARRY OUT AN EQUALITY IMPACT
ASSESSMENT?

The Race Relations (Amendment) Act 2000 states that all public bodies have a
legal responsibility to assess and consult on how their policies, services,
functions and programs affect different groups and to monitor any negative
impact on race equality.

The Disability Discrimination Act 2005 demands a similar process of assessment
on disability and clearly defines how this will be undertaken.

The Sex Discrimination Act 1971 (As Amended) also demands a similar process.

It is important and advisable to undertake generic Equality Impact Assessment
taking into account all the equality strands outlined in the anti-discrimination laws
which cover age, gender, religion and sexual orientation including race and
disability.

There are other reasons beyond the legislation why the Equality Impact
Assessment should be undertaken:-

   1.    It enables effective and efficient targeting of services and resources.
   2.    Increases transparency and confidence in the organisation
   3.    Minimises risk of legal action
   4.    Informs business planning and decision making
   5.    Encourages meaningful consultation and engagement with the different
         equalities groups
   6.    Strengthens understanding and promotes social inclusion and fairness
   7.    Improves the Health and Wellbeing of the local population (reducing
         inequalities in health)
   8.    Complies with the Equalities Legislation


                                                                                   2
                     THE SCOPE OF THIS DOCUMENT

Equality Impact Assessment applies to all areas of the organisation. Overall
responsibility for implementation lies with the Chief Executive Officer and the
Director for Human Resources.

The Senior Management team will ensure all the new policies have undergone
the Equality Impact Assessment and existing policies under review are screened.
All commissioners will be responsible for conducting the Equality Impact
Assessment on new and redesigned services.

All Equality Impact Assessments to be monitored by the Senior Management
team and operational leads in the organisation.

The Equality Impact Assessment should be a team of people which include
managers, frontline staff, clients and customers where possible. There must,
within this team, be one member of staff who will have undertaken an Equality
Impact Assessment Training.

Setting up the Equality Impact Assessment is the responsibility of the manager
taking forward the policy for approval. An initial screening (Stage 1) will be
carried out to assess whether a full screening (Stage 2) is necessary.


WHEN TO CARRY OUT THE EQUALITY IMPACT ASSESSMENT

The Equality Impact Assessment must be carried out on all proposed, revised
and existing policies and the design proposals. This to be done as part of the
business planning process annually with relevance to all equality strands.




                                                                             3
BASIC PRINCIPLES OF THE EQUALITY IMPACT ASSESSMENT

The main emphasis is on obtaining a profile of how the policy affects different
equalities groups and to recommend change where necessary.

Key stages of the Equality Impact Assessment:-


Stage 1.          Initial Screening
                         Agree who will carry out this assessment
                         Develop an initial view of the key issues on equalities
                         Decide what is to be assessed
                         How will it be done
                         Develop a realistic and achievable time table
                         Get feedback and advice on your initial views

This stage will identify positive, negative or neutral impact.


Stage 2.          Full Assessment if recommended following the initial screening


Stage 3.          Outlining recommendation and action plans with targets,
                  timescales and outcomes of any decisions made through the
                  Impact Assessment Process, to ensure measures are in place
                  to reduce/eliminate the negative impact.


Stage 4.          Publishing the results of the Equality Impact Assessment.



Stage 5.          Implementation of policy / service / function / program.
                  Monitoring the outcomes. Review as per timescale set.




                                                                                    4
   FLOW CHART FOR EQUALITY IMPACT ASSESSMENT



Stage 1              Scoping
                Initial Screening




 Stage 2      Assessment of Impact
                 Full Screening




 Stage 3      Recommendation and
                  Action Plans




 Stage 4       Publish the Results




 Stage 5
            Implementation, Monitoring
                  and Review
THE SCREENING PROCESS

Stage 1     Initial Screening

This screening is an assessment of the relevance of equalities and human rights
issues to policy. This should identify positive, neutral or negative impact. Where
it is possible consideration should be given to available existing data and
information, any consultation sources and other information (e.g. anecdotal).

This should be undertaken by a team under the leadership of the Director or
Manager responsible for the policy.


Stage 2     Full / Detailed Screening

If at the initial screening stage any concerns or information have revealed an
adverse/negative impact on any particular group then a detailed screening is
required.

This stage must be carried out by a ‘team’ of relevant people headed by the
Director or Manager responsible.


Stage 3     Recommendations and Action Plans

These recommendations and Action Plans must ensure that measures are in
place to reduce or eliminate the negative impact.

It will be at this stage that amendments to the policy will be made as appropriate
and as necessary.


Stage 4      Publish the Results / Recommendations and Action Plans with clear
outcomes.


Stage 5     Implementation, monitoring and review arrangements.

Implement the new policy as amended and monitoring all of the outcomes for
further review is essential and a requirement.

                                                                                6
    EQUALITY IMPACT ASSESSMENT (EQIA)

                             CYCLE




FINISH                                                       START


                              Monitor &
                               Review
                                             Identify Aims
               Publish                         of Policy,
               Results                         Proposal
                                                Service


Make a decision/s
  & implement                                           Gather Info &
                              EQIA                        Data plus
                                                        Demographics

  Formal
                              Cycle
Consultation                                          Initial Equality
 on Policy,                                                Impact
Proposal or                                            Assessment
                                                                           No
  Service                                               Screening        negative
                                                                         Impact -
                       Gather                                            End the
                      additional       If negative
                    data & assess     impacts are                         cycle
                      the likely        identified
                       Impact        undertake full
                                          EQIA




            Are there
           alternatives
           measures of                         Is this
          amendments?                          Policy,
                                             Proposal,
                                              Service
                                             required?




                                                                            7
                                  PREPARATION

First Stage of the assessment:

1.   Decide who will lead and who else will be involved in the task. A team
     approach is recommended.

2.   Agree what is to be assessed. How will it be done?

3.   Develop a view of the key issues in relation to equalities through
     examination of data and information.

4.   Decide who will be consulted and involved from the Equality Target
     Group/s.

5.   Set a realistic timetable.

6.   Get advice and feedback from relevant people.

7.   Use the form designed for initial screening.

8.   Use the full assessment toolkit if required.


All documentation must be retained for evidence purposes.




                                                                          8
                            Equality Impact Assessment

                                Initial Screening Checklist

 This is designed to help you to assess the impact of your policy, proposal or service on
 all equalities target groups, gather data/information at this stage.

 Policy, Proposal, Service Title …………………………………………………...
 Lead Manager ………………… Contact Details…………. Directorate………

1. 1. Who is the policy aimed
      at?




  2. What are the main aims
  and objectives?




  3. What data/information do
  you have about due equality
  impact of this policy? Use
  qualitive, quantitive and
  anecdotal information.




                                                                                     9
                                                    Direct          Indirect
                              Service   Staff   Discrimination   Discrimination
                               User
                                                Yes       No     Yes       No
4. Does it affect any one
group less favorably than
another?


     Equalities Groups
          (Please tick)

4.1 Different ages


4.2 Gender (male, female,
transsexual)

4.3 Different ethnic groups


4.4 Physical Disability


4.5 Learning disability/
Cognitive impairment

4.6 Sensory impairment

4.7 Mental ill health

4.8 Religious/other beliefs

4.9 Different sexual
orientation

4.10 Non English speakers

4.11 Pregnant women or
those on maternity leave


                                                                         10
                                                          Direct            Indirect
                                 Service   Staff      Discrimination     Discrimination
                                  User
                                                     Yes        No        Yes       No
4.12 Single parent families

4.13 People with different
work patterns (part/full time,
short term, job share,
unemployed, seasonal

4.14 Asylum Seekers,
Refugees, Migrant Workers

4.15 Gypsy & Travellers

4.16 Carers

4.17 Community Offenders


4.18 Rural or isolated
communities

4.19 People with HIV/Aids


4.20 Others (Please specify)

      5.    Who will be affected positively or negatively in relation to this policy and
            how? Please comment:




                                                                                   11
   6. Is the impact in your opinion:-

Low                 Medium               High             Neutral


   7. Please indicate whether a full screening is necessary?


            Yes                     No

   8. Any other comments:




Initial Screening

Manager Signature ………………………………… Date………………

NB Please retain this form. You may need to produce it as evidence.




                                                                      12
                           Full Equality Impact Assessment

               At this stage you will also have the copy of the initial screening.

     Manager …………………                Contact Details………….

   Dept/Directorate………
1. Name:-

     Policy

     Strategy

     Proposal

     Service

     Function

2.   Please describe briefly the rationale or evidence base for developing this policy.




3.   What are the expected outcomes?




                                                                                     13
4.   From the initial screening, are there any groups who appear to be affected?
     Please comment whether there is positive and/or negative impact on any of the
     equalities target groups.




5.   Who are you going to consult and involve from the communities and the equalities
     target groups or staff throughout this process?




6.   What methods of consultation / involvement are you going to use?




                                                                                 14
7.   What are the issues raised through consultation/involvement regarding the negative
     impact?




8.   How will the negative impact be eliminated or minimised?




9.   Are there likely to be different outcomes with any policy modifications?




                                                                                 15
10. Having adopted the policy etc what are the implementation plan and
    monitoring arrangements to ensure the outcomes are met? Include timescales.




11. What are the key expected outcomes?




12. How will the results be published? And where?




   Please retain this form for evidence purposes
                                                                              16
                    EQUALITY IMPACT ASSESSMENT SUMMARY

1.       Identification

Identify the policy, strategy, proposal, service or function for assessment of
impact on equalities groups.

2.       Preparation

It is important that a ‘team’ of relevant people is put together, headed by the
Manager responsible.


3.       Screening (Initial)

           Examine available data
           Determine whether there is evidence of impact on the target equality
            groups
           If no impact – do not proceed further. Sign off the initial screening
            checklist.
           Retain documentation for evidence
           If any adverse impact is established prioritise as low, medium or high
            (See Appendix 2).


4.       Gather further data and information for evidence purposes

           Explore what further data is required to assess impact?
           Ensure data is suitable and valid.
           Both qualitative and quantative data should be used.
           Does the data / information gathered highlight any negative impact?


5.       Consultation / Involvement of Communities and Organisations

           Ensure objectives for consultation/involvement are clear
           Ensure that the relevant people are involved
           Use accessible ways for consultation and engagement for all stages in
            the process
           Explain the process clearly to those being consulted or involved
                                                                                  17
          Capture all the issues and suggestions from the consultation to feed into
           the recommendations

6.       Assess Impact

          Assess and determine if there is any positive impact
          Assess and determine if there is any negative impact or likely to have a
           negative impact
          Assess and determine the nature of this negative impact


7.       Eliminate or Reduce Negative Impact

          Examine why this impact has occurred or is likely to occur.
          Explore ways to reduce / eliminate the negative impact
          Make amendments/modifications as necessary
          Assess the changes for any further negative impact


8.       Action Plans – Monitor and Review

          Ensure arrangements are in place for monitoring and review with clear
           timescales identified

9.       Publish the Assessment

          Use a variety of methods to ensure that this information is accessible to
           the public

          Use a variety of formats if necessary/required



Retain all documentation for evidence purposes

                                                                                 18
                                          FULL IMPACT ASSESSMENT

                                                  SUMMARY TABLE

Equalities      Data & Info. Differential     Consultation /   How will the   Expected       Monitoring     Results
Group           What does Impact              Involvement      Impact be      Outcomes       and            Published
                it show?     (from analysis   - who, when,     eliminated /   Following      Review         Where?
                              of research)    how and why?     minimised?     Policy         arrangements   Formats?
                                                                              Modification

Race




Disability


Physical

Sensory

Mental Health

Learning




                                                                                                               19
Equalities     Data & Info. Differential     Consultation/   How will the   Expected       Monitoring     Results
Group          What does Impact              Involvement     Impact be      Outcomes       and            Published
               it show?     (from analysis   - who, when,    eliminated /   Following      Review         Where?
                             of research)    how and why?    minimised?     Policy         arrangements   Formats?
                                                                            Modification


Women/
Men




Sexual
Orientation


Gay

Lesbian

Transgender

Bisexual

Transvestite




                                                                                                             20
Equalities     Data & Info. Differential     Consultation/   How will the   Expected       Monitoring     Results
Group          What does Impact              Involvement     Impact be      Outcomes       and            Published
               it show?     (from analysis   - who, when,    eliminated /   Following      Review         Where?
                             of research)    how and why?    minimised?     Policy         arrangements   Formats?
                                                                            Modification


Young
&
Older People




Faith/
Belief




                                                                                                             21
                                       EQUALITY IMPACT ASSESSMENT

                                           ACTION PLAN TEMPLATE

NAME OF POLICY, STRATEGY, PROPOSAL, FUNCTION, SERVICE,

DEPT/DIRECTORATE

 Equalities         Issues        Action Plan Responsible Expected             Monitoring and    Dates Required
 Groups/            Identified                 Officer
                                  and Time Lines          Outcomes             Review            for Reporting
 Communities                                                                   Arrangements
 Affected




   Equalities Target Groups: age, disability, gender, race, religion/faith, sexual orientation
                                                                                                            22
                                                                         Appendix 1

                    FULL EQUALITIES IMPACT ASSESSMENT

                               GENERAL GUIDANCE


The Process

It is important that evidence from the initial screening is included throughout the
process to completion.

Stage 1.

It is important to ask these questions:-

What is the purpose of this policy?
Who is it targeted at?
Who will benefit and how?
Who will be unlawfully discounted against or disadvantaged?
Does the policy fit into the organisations corporate aims?
How will it be put into practice?
Who will be responsible?
What is the timescale for implementation, monitoring and review?

Stage 2.

Data and information is an essential part of any Equality Impact Assessment.
At this stage further sources of data and information may be required.
Information may also be obtained from other agencies and voluntary and
community groups.

Consider whether:

          The data shows differences between different racial groups
          The data show differences between different equalities groups
          Is there any indication of negative impact?
          Is there any indication of direct/indirect discrimination or any
           disadvantage?


                                                                                      23
Stage 3

Having analysed the relevant data in detail, you are now in a position to be able
to assess the likely impact (positive, negative, neutral) on the equalities target
groups.

Consider:
       How does the policy affect different groups differently?
       What is the nature of this negative impact or disadvantage?
       Is there any unlawful discrimination, direct or indirect?
       Can the policy be redesigned to improve outcomes for those who will be
        affected negatively.

Stage 4

Consultation and involvement must feature throughout the process of the
Equalities Impact Assessment. It is essential that the final draft is consulted upon
with all equalities target groups before adoption and implementation having
addressed the identified negative impact.

Consider:
       Who is to be consulted/involved - service users, employees, trade
        unions and relevant others
       Are the objectives clear and time lines set for consultation?
       Is this process explained clearly to those being involved/consulted?
       Take into account also specific needs and interests of equalities target
        groups.

Stage 5

It is necessary, if any negative impact is identified to consider ways in which this
could be minimised or removed. It may be that a change in policy is required
and/or the manner in which it will be implemented.

It is at this stage a decision has to be made about modifications to the policy. If
this modification is not made then it is essential to check whether this can be
justified legally.

Consider
       What changes have to be made in view of the identified negative
        impact/s
                                                                                      24
         How have results from consultation / involvement affected and
          contributed to the development of the final policy / service development

Stage 6

It is important to ensure that the policy is fully compliant with the equalities
legislation and codes of practice.

It is at this stage the recommendation is made for the policy to be adopted and
implemented.

Stage 7

Once the policy is adopted, monitoring arrangements must be put in place. It can
be a separate timetable or part of existing mechanisms.
On implementation issues may arise which may not have been apparent during
the development phase and this may need to be reviewed.

Stage 8

The report presenting the policy for adoption must include the results of the
equalities impact assessment. The assessment (process & outcome) results
must be published for the general public and employees.

Consider:-
       Direct mail to community / equalities target groups
       Newsletter
       Organisation publications
       Website
       Information should be accessible in alternative formats and languages
        where requested

Additional Advice and Guidance

If any advice or guidance is required, please get in touch with the Equalities
Manager.

Useful Resources

CRE Guide for Public Authorities
DOH Guidance on Impact Assessment
                                                                                   25
                                                                      Appendix 2

                         Equality Impact Assessment
                               TERMINOLOGY

Policy

A prescribed plan to guide decisions and actions e.g. Infection Control Policy,
Recruitment and Selection Policy, Complaints Policy, Older People Abuse Policy
and the Child Protection Policy.


Strategy

A longer term plan of actions designed to achieve specific objectives e.g. Fit 4
Life, Primary Care Strategy, Business Plan, Organisation Improvement Plan,
Education and Development Plan.


Proposal

An intended action plan to develop a function or service. e.g. Capital bid, service
development proposal.


Function

The action expected of all individuals, teams or the organisation. e.g.
Commissioning, Budgeting, Emergency Planning, Health Visiting and
Haemoglobinopathy.


Service

A Department provides specific care. e.g. Podiatry, Surgery, Quitters,
Occupational Health and Hearing.

                                                                                26
Impact

Positive Impact

When a policy, project, service improves equal opportunities and/or relationship
between groups and generally has a positive influence / outcome

Adverse/Negative Impact

When a policy, project, service disadvantages any or some of the equalities
groups. There may be a ‘differential’ disadvantage which means that the adverse
impact is greater on one group than another.

Neutral Impact

This is when a policy, project or service has a fair impact on all groups


Discrimination

Direct:-

Equalities Legislation and Employment Directors state that direct discrimination
occurs where “one person is treated less favourably than another is, has been or
would be treated in a comparable situation”.

Indirect:-

When an organisation has policies, employment rules, selection criteria, benefits,
education access, or any other procedures/practices which although applied to
all employees disadvantage a particular group.

Indirect discrimination is unlawful whether it is intentional or not.




                                                                               27
Data & Information

For an Equality Impact Assessment to be effective data it is extremely important
and necessary Data and information can be collected both internally and from
external sources. This can be both quantative and qualitative.

Quantative

Is numerical usually and derived from demography/population. It considers
profiles, trends and patterns and distribution.

Qualitative

Is about experiences of individuals/groups which are generally subjective.
Consultation/engagement is likely to give this type of data.

Use information already gathered in the organisation              as   well   as
consultation/research reports, publications and the internet.

Information can be collected from external partners, private sector, statutory
agencies, voluntary and community sector and trade unions.

Anecdotal

This information should be collected as it is generally about experiences of
clients or staff.




                                                                              28
                                                                      Appendix 3
                              LEVELS OF IMPACT

Positive

There will be a varying degree of benefit to the communities and equalities
groups through the implementation of the policy.

Unknown

Where no information or evidence is gathered and an assessment cannot be
made.

Low
                      Little or no evidence is available that different groups may
                       be affected differently
                      The policy may not be relevant in relation to the general
                       duties as outlined by law for race, disability or gender
                      There may be little or no concern raised by the
                       communities or the public about the policy etc

Medium

                      There may be some evidence available which suggests
                       that different groups are affected differently
                      There may be relevance to parts of the general duty
                       (race, disability, gender) in the policy etc regarding
                       differential impact
                      There may be some concern by communities and the
                       public about the policy

High

                      There will be substantial evidence, data and information
                       that there will be a significant impact on different groups
                      There will be relevance to all or majority part of the
                       general duty (race, disability, gender) in the policy
                       regarding differential impact. There will be significant
                       concern by the communities and relevant partners on the
                       potential impact on implementation of the policy etc
                                                                                 29

								
To top