Meeting HR & Remuneration Committee and Time 13 February 2014, 14.00 hrs Location Glasgow Caledonian University, Glasgow Title of Paper EIA Methodology Item Number 14 Presented By Brenda Armstrong For Approval/ For Information FOR INFORMATION Appendix Attached: Yes PURPOSE To update members of the Scottish Police Authority on the EIA methodology adopted by Police Scotland/SPA. BACKGROUND 1.1 The general equality duty requires public authorities including Police Scotland/SPA, in the exercise of their functions, (as service providers, as employers as policy makers) to have due regard to the need to: (a) eliminate discrimination, harassment, victimisation and any other conduct that is prohibited by or under the Equality Act; (b) advance equality of opportunity between persons who share a relevant protected characteristic and persons who do not share it; (c) foster good relations between persons who share a relevant protected characteristic and persons who do not share it. Public Sector Specific Duties were introduced in 2012 to support the delivery of the General Equality Duty. One area of this duty is to assess and review policies and practices. This is to be achieved by: Assessing the impact of applying a proposed, new or revised policy against the needs of the general duty; Consider relevant evidence relating to people who share protected characteristics; Take account of the results of any such assessment in making any revisions to the proposed policy or practice When a decision is made to apply a new or revised policy or practice the results of any assessment of impact must be published. The phrase policies and practices covers all the proposed or current activities which a listed authority carries out. 1
Police Scotland/SPA aims to ensure that the service provided meets the diverse needs of their staff and the public served, and takes every opportunity to promote equality and diversity by ensuring that: Policies e.g. Dignity and Respect at Work; Domestic Abuse; Provisions e.g. Decisions, including Financial / Resourcing; Criteria e.g. Recruitment and Selection, Promotion; Functions e.g. Terms and Conditions, Equal Pay; Practices e.g. Business Change Proposals, Shift Change Proposals Activities e.g. Policing Operations; Recruitment events are neither unfair or unlawful. EIAs can assist in making sure internal processes and external services are both fair and lawful by ensuring that proactive steps are taken to identify potential areas of discrimination and to remove it, or to adapt a policy or practice to better advance equality. This also includes looking for opportunities to promote equality as well as negative or adverse impacts that can be removed or lessened by identifying mitigating actions. An initial National Police Reform EIA toolkit was developed for use in all police reform work in February 2012. This toolkit was later reviewed and amended to reflect four events aimed to deliver improved outcomes. The revised EIA toolkit was published in August 2012 and continues to be used by Police Scotland/SPA Appendix 1&2 The Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012 came into force at the end of May 2012. http://www.legislation.gov.uk/ssi/2012/162/contents/made The Equality and Human Rights Commission (EHRC) in support for the Scottish specific duties published a range of non-statutory guidance. http://www.equalityhumanrights.com/scotland/public-sector-equalityduty/non-statutory-guidance-for-scottish-public-authorities/ In addition, the EHRC Scotland commissioned ODS Consulting to research public authorities performance in relation to EIAs, their report was published in May 2012. ODS Consulting took a sample of Scottish public bodies, the police forces in Scotland (and primary schools) were looked at in some depth and a number of recommendations were made to improve performance. http://www.equalityhumanrights.com/scotland/key-projects-inscotland/mitigating-action-within-scottish-public-bodies Finally, the Scottish Government launched an 'evidence finder' which brings together all the reports and statistics they produce by seven of the protected characteristic and functional area - crime and justice and labour market are 2 such areas. http://www.scotland.gov.uk/topics/people/equality/equalities/datagrid 2
It was intended that after a reasonable period of settlement for the new organisation, the EIA Toolkit and related Police Scotland/SPA Standard Operating Procedures (SOP) would be reviewed. With that aim, on 17 June 2013, the Equality and Diversity Governance Group supported the proposal to establish a small short-life working group to review the Police Service of Scotland/SPA EIA toolkit and related processes and, to provide recommendations to ensure that Police Scotland/SPA continues to improve performance in this area and that its commitment to equality and diversity is managed proactively; its internal tools and processes are robust, legally defensible and deliver on its obligations to staff and communities. EIA REVIEW 2.1 In order to ensure that our internal tools and processes are robust, legally defensible and deliver on our obligations to our staff and communities, the review focused on the following resources and processes: Public Sector Equality Duty. To examine the legal requirements as it relates to Police Scotland/SPA as a listed public body; EIA Toolkit / SOP: To gather feedback re pilot stage and use it to revise Police Scotland/SPA EIA Toolkit and SOP to ensure they reflect current guidance from EHRC and Scottish Government. Involve / consult relevant internal and external stakeholders as appropriate; Policy Development, Support and Quality Assurance: To examine current structures and practices in relation to: SPA Policy HR Policy and Remuneration Team PSoS Policy Support; HR Equality and Diversity Advisors / Practitioners; and Police Reform EIA Team; Publication, Monitoring & Review of SOPs, Related Assessments and Mitigating Actions across Police Scotland & SPA: To examine current resources and structures and whether they are fit for purpose; and to consider current processes for publishing ALL EIAs Internal & External Functions. A stage one report was submitted and discussed at the E&D Governance Group in November 2013 with the following key recommendations. Amend current EIA guidance and template to ensure a proportionate response to legal requirements. Develop a single point of access to a comprehensive pool of relevant equality data to assist EIA authors. Review current EIA training arrangements and course content to reflect the revised EIA tools. 3
During review of Corporate Services, consideration should be given to where the dedicated EIA resource should be located When resources allow, develop an effective technological solution to enable publication of all HR and operational EIAs and Monitoring & Review of Mitigation Actions within those EIAs. Develop a strategic approach to mainstreaming equality impact into the day to day police business internally and externally. Develop a suitable alternative to fill the gap left by ACPOS E&D Business Area Reference Groups. It was agreed at the meeeting that further work would be undertaken resulting in a final report and revised EIA guidance by end March 2014. FINANCIAL IMPLICATIONS 3.1 There is a risk to the organisation in failing to deliver on this area of work which may lead to challenges made by staff, communities resulting in litigation. There would be financial costs associated with involvement in the lengthy process of defending such a challenge and any potential compensatory payment awarded. Non-compliance with legislative requirements may also lead to enforcement action by the Equality and Human Rights Commission. PERSONNEL IMPLICATIONS 4.1 Responsibility for the completion of HR related EIAs falls to Policy Authors and Decision Makers who will be supported through the process by the interim HR E&D team. LEGAL IMPLICATIONS 5.1 Under the Public Sector specific duties there is a legal requirement for Police Scotland/SPA to: Assess and review policies and practices The area of work is also intrinsically link to other aspects of the specific duties, namely: Publish a set of equality outcomes and report on progress Gather and use employee information Publish gender pay gap information Publish an Equal Pay statement Publish in manner that is accessible A full understanding across Police Scotland/SPA of the Equality Act 2010, public sector duties and mainstreaming requirement is required to ensure that both organisations deliver on their legislative requirements. 4
REPUTATIONAL IMPLICATIONS 6.1 Supporting processes must be in place and embedded throughout all work areas to ensure that the organisation continues to build confidence of decision makers and policy authors to provide them with the skills and knowledge needed in developing effective and efficient EIAs. Failure to do so leads to a risk of non-compliance with legislative requirements which may result in enforcement action by the Equality and Human Rights Commission in respect of delivering against the Police Scotland HR Equality Outcomes and the Public Sector Specific Equality Duties. SOCIAL IMPLICATIONS 7.1 Transparency and openness in the way Police Scotland/SPA conducts its business will help to break down barriers in all aspects of human resources and service delivery. EQUALITIES IMPLICATIONS 8.1 As outlined above. RECOMMENDATIONS Further updates to be provided to SPA Board members on the EIA review. 5
EQUALITY IMPACT ASSESSMENT This form should be completed in line with the Police Scotland Equality Impact Assessment Standard operating Procedure and in conjunction with Equality and Diversity resources. Completed EIAs must be retained and the outcomes must be reported to decision makers to be considered when making decisions. NAME OF POLICY Policy Version Number Equality Impact Assessment Author Designation The term Policy refers to: Policies; Criteria; Functions; Practices; and Activities hereafter referred to as policy. 066-004 V7-1113 1
STAGE 1 SCREENING FOR RELEVANCE Use this section to identify and document the potential impact of your policy and note the action planned or taken to eliminate (or justify) any potentially adverse impact. This section may also be used as an evidence log. 1.1 What is the main aim(s) or purpose of the policy? 1.2 What outcome(s) are you trying to achieve? 1.3 Collect Information: what evidence is available on how this policy might affect equality groups and what does this tell you? Source/Title of Evidence Gaps in evidence remaining Further evidence to be gathered 1.4 Is there any potential for the policy or practice to discriminate, directly or indirectly or disadvantage any particular group/s? If yes, who is affected and how? / If no, state what evidence is available to support this Yes No 1.5 Is there any opportunity to advance equality for any group/s by removing an existing inequality / disadvantage? If yes, please provide details / If no, state what evidence is available to support this Yes No 066-004 V7-1113 2
1.6 Is there any potential for impact (negative or positive) on relations between different groups? e.g. Can it lead to tension between any groups and cause damage to relations or will it help to foster good relations? If yes, please provide details / If no, state what evidence is available to support this Yes No 1.7 Which of the protected group(s) is the potential impact relevant to and to what level? High Medium Low No Relevance Reasons Age Disability Gender Gender Reassignment Marital / Civil Partnership Status Pregnancy & Maternity Leave Race Religion or Belief Sexual Orientation Note: If the impact of the policy is considered to be of no relevance to any equality group/s, then there is no need to progress to a full equality impact assessment. However if the screening above has high, medium or low against any of the aims of the public sector general equality duty, then a full impact assessment should be done. In a very few cases where the relevance is considered to be low, it may be necessary to postpone the full impact assessment. If this is decided the reasons should be recorded and the date for reviewing this decision inserted below. 066-004 V7-1113 3
1.8 QUALITY ASSURANCE AND DECISION (On completion of Screening for Relevance, seek advice from your Equality and Diversity resources.) Comments from the Equality and Diversity Resource regarding the above screening level: EIA Author s Name Designation E&D Resource s Name Designation Note: If a full Equality Impact Assessment is not required, the senior manager who is the policy s owner must also sign off the screening, OR if it is decided that a full EIA cannot be done at this time, give reasons and a date for reviewing this decision below. Reason for Postponing Full Equality Impact Assessment Review Policy Owner s Name Designation 066-004 V7-1113 4
STAGE 2 GATHERING EVIDENCE, INCLUDING CONSULTATION / INVOLVEMENT Consultation: This section should be used to record all consultation conducted by the author in creating this version of the policy with a consultation record being developed for every individual or organisation consulted with. The Owning Department/Author must retain all correspondence (emails, letters, notes, draft/final document versions, etc) during the creation of the procedure, policy, function or activity. 2.1 Consultation Log Consultee Sent Received Response issues/concerns raised Amendments etc. made 2.2 Evidence / Information from Other Sources (attach relevant research / evidence / monitoring) Source/Title of evidence Further evidence gathered 066-004 V7-1113 5
STAGE 3 ANALYSIS 3.1 Analysis of Evidence Obtained: Summarise the findings from 2.1 and 2.2 above and explain what it tells us. Issue/concern raised Analysis/Comment STAGE 4 - DECISION / MITIGATION ACTION / JUSTIFICATION 4.1 What is your decision? Please tick only 1 box A. No Change is required (no adverse impact) (Go to section 5) B. Adjust the policy (to remove or minimise the adverse impact) (Go to section 4.2 & 4.3) C. Continue the policy (despite adverse impact being identified complete sections below) (Go to section 4.2 & 4.3) D. Stop and remove the policy (in case of unlawful discrimination) (Go to section 5) 066-004 V7-1113 6
4.2 Can any negative impact be justified on a legal or objective ground? If so, give full details here - attach any EHRC and /or legal guidance or similar received" 4.3 MITIGATING ACTION PLAN: What mitigating or positive action has been or will be taken to minimise / eliminate any potential for adverse impact on our ability to meet the aims of the Public Sector Equality Duty? How will this action be monitored to show if it is reducing any adverse impact? Issue / Concern identified Mitigating Action taken/ to be taken Evaluation/ Monitoring method Timescale & Updates Action Owner Strategic Ownership & Links to Equality Outcomes STAGE 5 IMPLEMENTATION AND REVIEW 5.1 What arrangements /systems are / will be in place to monitor the effect of the policy once it is implemented and how will this relate to our duty to advance equality? Please provide details 5.2 Who will be responsible for the above monitoring? 066-004 V7-1113 7
Please provide details 5.3 When will the policy be reviewed and who will be responsible for this review? Please provide details STAGE 6 FINAL EQUALITY IMPACT ASSESSMENT SIGN-OFF Statement by Author of the Policy This policy has been developed in accordance with the EIA SOP having considered the impact and effect of this policy against the general equality duty and taken appropriate steps to mitigate, reduce, eliminate, or provide justification for any adverse impact it may have. Equality Impact Assessment Author Designation Quality Check. Full Impact Assessment Checked by the Equality & Diversity Unit Name Designation Policy Owner The final stage of the EIA is for the policy owner to formally sign off the document as being a complete rigorous and robust assessment. Decision makers must take account of the results of Equality Impact Assessments when considering whether to approve a new or revised policy. Policy Owner Name Designation 066-004 V7-1113 8
STAGE 7 PUBLICATION. LEGISLATION REQUIRES THIS EIA TO BE PUBLISHED IN AN ACCESSIBLE FORMAT AND AVAILABLE IN A REASONABLE TIME Place(s) published (s) published 066-004 V7-1113 9