Equality and Diversity Policy Version No Author Date Comments Approved by V1.0 Becky Jones 2-10-14 APPROVED Quality and Risk Committee V2.0 Craig Sharples 20-07-16 Draft updated to reflect current structures and arrangements V3.0 Lynne Sharp 9-8-16 Incorporating comments at QRC QRC 3-8-16 Incorporating comments from NNE, NW and Rushcliffe CCGs V3.1 Lynne Sharp 4-10-16 E&D Forum recommended for QRC 27-10-16 APPROVAL V3.1 27-10-16 APPROVED Approved by QRC 1
EQUALITY IMPACT ASSESMENT This document has been assessed for equality impact. This policy is applicable to every member of staff within the CCGs irrespective of their gender, religion and belief, age, disability, race, gender reassignment, marriage and civil partnership, pregnancy and maternity or sexual orientation (the nine protected characteristics). Reader Information Reference Title ED001 Equality & Diversity Policy Document purpose To set out and confirm the CCGs commitment to promoting equal opportunities and to recognise and value peoples differences Version V3.1 Owner Approval Date 27 October 2016 Approving Committee Review Date October 2019 Groups/Employees Consulted Target audience Circulation list Associated Documents Head of Governance and Engagement RCCG Quality and Risk Committee CCG Employees All NNE, NW and Rushcliffe CCG Employees All NNE, NW and Rushcliffe CCG Employees; NUH Equality and Diversity Lead Equality and Diversity in Employment Policy and associated HR Policies: Bullying and Harassment Policy, Grievance Policy, Disciplinary Policy, Recruitment and Selection Policy and Your Attendance Matters Policy, Management of Unsatisfactory Work Performance Policy, Raising Concerns at Work and Flexible Working Policy. Trans* Equality and Gender Re-assignment Policy and Equality Impact Assessment Guidance Superseded Documents Equality and Diversity Policy 2014 Equality Implications An EIA has been carried out and no implications have been identified Sponsoring Director Chief Officer 2
Contents 1. Policy Statement... 4 2. Legislation... 4 2.1 The Equality Act 2010... 4 2.2 Public Sector Equality Duty (PSED)... 4 2.3 What is due regard?... 5 2.4 What is discrimination?... 5 3. Purpose... 5 4. Managing Equality and Diversity - Governance Arrangements... 5 4.1 Chief Officer... 5 4.2 Governing Body... 5 4.3 Head of Governance... 6 4.4 CCG line managers and employees... 6 4.5 Quality and Risk Committee... 6 4.6 Equality and Diversity Forum... 6 5. Managing Equality and Diversity Framework for Delivery... 6 5.1 Equality Delivery Scheme (EDS2)... 6 5.2 Equality Impact Assessments (EIA)... 7 5.3 Recruitment, Promotion, Transfers, Redeployment and Ending Employment... 7 5.4 Workforce Profiling and Monitoring and the Workforce Race Equality Standard (WRES)... 7 5.5 Accessible Information Standard... 7 5.6 Performance Monitoring of Providers... 8 6. Training... 8 7. Associated Policies... 8 8. Outcome... 8 9. Monitoring and Audit of Policy... 9 10. Review... 9 3
1. Policy Statement NHS Nottingham North and East, NHS Nottingham West and NHS Rushcliffe Clinical Commissioning Groups (the CCGs) are committed to the equality and diversity agenda as defined by the protected characteristics of age, disability, gender, gender reassignment, marriage and civil partnerships, pregnancy and maternity, race, religion/belief and sexual orientation. The CCGs believe that their vision for commissioning quality health services for their populations will only be achieved through promoting a culture of inclusivity and recognising and valuing people s differences. 2. Legislation 2.1 The Equality Act 2010 The Equality Act 2010 has replaced all previous anti-discrimination legislation with a single Act to simplify the law and making it easier for people to understand and comply with it, and to remove any inconsistencies. The Act was followed by a key measure for public sector organisations in 2011, the public sector Equality Duty (The Equality Act 2010 (Specific Duties) Regulations 2011). 2.2 Public Sector Equality Duty (PSED) The PSED is set out under section 149 of the Act and applies to public bodies and to other organisations when they are carrying out public functions. The Equality Duty was introduced to provide a framework for promoting equal opportunities, eliminate unlawful discrimination and harassment and improve the experience of service users and staff. It replaced the three previous public sector equality duties for race, disability and gender and identified nine protected characteristics: age race this includes ethnic or national origins, colour or nationality sex gender reassignment status disability religion or belief including non-belief sexual orientation marriage and civil partnership status pregnancy and maternity All public organisations must, in the excise of their legislative duties, have due regard to the three aims of the PSED: Eliminate discrimination, harassment and victimisation or any other conduct prohibited by the Equality Act 2010 in relation to the protected characteristics; Advance equality of opportunity between between all persons Foster good relations between all groups of people sharing a protected characteristic and those who do not. 4
2.3 What is due regard? Due regard means that the CCGs have given advanced consideration to issues of equality and discrimination before making any commissioning decision or policy that may affect or impact on people who share protected characteristics. 2.4 What is discrimination? Discrimination can be direct or indirect. Direct discrimination is when one person receives less favourable treatment than another person because of a protected characteristic. Indirect discrimination is when there is a condition, rule, policy or practice that applies to everyone, but which particularly disadvantages people who share a protected characteristic For the first time the law also protects people who are at risk of discrimination by association or perception. More definitions of discrimination can be found in Appendix 1. 3. Purpose This Policy sets out how the CCGs will jointly meet these statutory duties which they view as crucial to the success of the CCGs as dynamic individual organisations by: Outlining the framework for promoting the equality and diversity agenda within the CCGs Directly recognising the link between the CCGs activities as an employer and people s opinions of the CCGs and the effective commissioning of local healthcare services, creating an environment that promotes equal opportunities and values people s differences. Ensuring that actions taken through commissioning activities demonstrate best practice in relation to equality and diversity. This includes receiving assurance that providers of services commissioned by the CCGs meet best practice requirements also. Ensuring all staff understand their own responsibilities for working towards an equal and diverse health community. 4. Managing Equality and Diversity - Governance Arrangements 4.1 Chief Officer The Accountable Officer is the executive lead and is ultimately legally responsible for the organisations compliance with equality legislation ensuring that necessary resources are in place to support and promote equality and diversity priorities. 4.2 Governing Body All members of the Governing Body assume an individual and collective responsibility for supporting the CCG in complying with equalities legislation. Lay members are responsible for ensuring there is sufficient scrutiny of the CCGs assurance mechanisms for compliance with the Equality Act 2010, EDS2 and associated 5
good practice. The Governing Bodies have a strategic lead for equality and diversity who is the Lay Vice-Chair for each of the three CCGs. 4.3 Head of Governance/Governance Manager The Head of Governance for each CCG provides operational and strategic leadership for equality and diversity ensuring that: equality and diversity priorities remain a key part of the commissioning cycle, and are underpinned by the development of monitoring effective provider service delivery and strong working practices. equality and diversity policies are embedded within all CCG staff management and working practices through partnership with the CCGs HR Business Partners. This is detailed further in the Equality and Diversity in Employment Policy and the associated individual HR policies. 4.4 CCG line managers and employees All line managers and employees who are involved in the development of policies, commissioning business cases and service redesign initiatives are responsible for ensuring that Equality Impact Assessments (EIAs) are conducted at relevant stages in any policy or decision making process. Managers are also responsible for ensuring that any allegations of discriminatory behaviour or practices are correctly investigated and appropriate action taken. This may involve the use of the CCG s Bullying and Harassment Policy, Grievance Policy, Disciplinary Policy and Management of Unsatisfactory Work Performance Policy. 4.5 Quality and Risk Committee The Quality and Risk Committee is a joint committee responsible for overseeing the CCGs compliance with legal and ethical obligations with regard to equality and diversity, including the NHS Equality Delivery System (EDS2). This Committee is responsible for providing assurance to the CCG Governing Body in this regard. 4.6 Equality and Diversity Forum The Equality and Diversity Forum is a sub-group of the Quality and Risk Committee and coordinates the delivery of the Equality Delivery System across the south CCGs, thereby providing assurance that the CCGs are compliant with the Equality Act 2010. 5. Managing Equality and Diversity Framework for Delivery 5.1 Equality Delivery Scheme (EDS2) EDS2 provides a ready-made way for the NHS to respond to the PSED. It is a toolkit developed for NHS organisations to review and improve their equality. The toolkit enables the CCGs to improve the services provided for local communities, consider health inequalities in the locality and provide better working environments, free of discrimination, for those who work in the NHS. The EDS has four goals key goals (with 18 specific outcomes): Achieving better outcomes Improving patient access and experience Developing a representative and supported workforce and, Demonstration of inclusive leadership. 6
Each of these goals is assessed and a grading applied to illustrate progress in achieving the outcomes. Involvement of the communities and organisations who represent the views of people with protected characteristics is important. CCGs are required to grade themselves against progress made with the EDS2 at least once every three years. The outcomes cover things that patients and staff say matter the most to them. Working with patients, staff and local voluntary organisations, NHS organisations can analyse their performance against the 18 outcomes and use the results to identify equality objectives at least every four years, which are specific and measurable In fulfilling its obligation to the PSED, the CCGs will adhere to the Brown Principles (Appendix 2). 5.2 Equality Impact Assessments (EIA) The CCGs are committed to ensuring that commissioning decisions, business cases, policies and any other business plans are evaluated for their impact on equality through completion of Equality Impact Assessments. An impact assessment is a continuous process to ensure that possible or actual business plans are assessed and the potential consequences on equality are considered and any necessary mitigating actions are outlined in a uniformed way. The Equality and Diversity Forum will review all EIAs and escalate as appropriate to the Quality and Risk Committee. The CCGs will publish all EIAs on their websites. 5.3 Recruitment, Promotion, Transfers, Redeployment and Ending Employment The CCGs will ensure that all job vacancies and associated adverts are non-discriminatory and positively promote equality and diversity. In addition, where appropriate, job advertisements will include a statement to encourage applications from under-represented groups in a particular area of work. Further detail is contained in the Equality and Diversity in Employment Policy. 5.4 Workforce Profiling and Monitoring and the Workforce Race Equality Standard (WRES) The CCGs are committed to ensuring an equal and diverse workforce and in order to do this monitoring of both our patients and employees is carried out. This is done through collecting equality data from job applicants, existing employees and leavers, in order to build up a picture of how representative the workforce is and which areas need more work to attract people to apply to come to work for the CCGs. The results of this monitoring can then be measured to ensure that the CCGs do indeed reflect the community that they serve. The Joint Strategic Needs Assessment and census data are used to provide the profile of the local community. Further detail is contained in the Equality and Diversity in Employment Policy. 5.5 Accessible Information Standard The Accessible Information Standard aims to ensure that patients and service users, and where appropriate carers and parents, with information or communication support needs relating to a disability or sensory loss have those needs met by health and social care services and organisations. It directs and defines a specific, consistent approach to 7
identifying, recording, flagging, sharing and meeting information and communication support needs All organisations that provide NHS or publicly funded adult social care must have fully implemented and conform to the Accessible information Standard. The CCGs will support providers to implement the standard and monitor compliance with it through the contract monitoring process. 5.6 Performance Monitoring of Providers Through the provisions of the standard NHS Contract, CCGs will ensure that all providers are compliant with the Equality Act. All the NHS providers with which the CCG contracts are expected to undertake an annual equality performance review using the NHS Equality Delivery System (EDS2). In order to gain assurance that providers are compliant with all requirements for equality and diversity, a summary of the position of providers will be discussed at the Equality and Diversity Forum and reported to the Quality and Risk Committee as soon as year-end reports are compiled by the providers. This will include the EDS2 in paragraph 5.1; WRES described in paragraph 5.4 and the Accessible Information Standard in paragraph 5.5 above. 6. Training The CCG is committed to providing equality of access to training and career development to all employees. The CCG is committed to providing training for all employees across the whole equality and diversity agenda. In taking this approach, the CCG is able to deliver to its employees a fully rounded understanding of equality and diversity and how it is relevant to their specific role and what behaviours are expected from them particularly when dealing with sensitive issues. 7. Associated Policies This Policy should be considered alongside the Equality and Diversity in Employment Policy and relevant HR Policies, including but not limited to, Bullying and Harassment Policy, Grievance Policy, Disciplinary Policy, Recruitment and Selection Policy, Your Attendance Matters Policy, Raising Concerns at Work and Flexible Working Policy; the Equality Delivery Scheme and Action Plan; the Trans* Equality and Gender Reassignment Policy and the Equality Impact Assessment Guidance. 8. Outcome Equality means providing the same opportunities to all. Diversity means accepting differences. By harnessing differences between people the CCGs can drive forward excellence and creativity in performance. Organisations that embrace variety; reject prejudice and understand and accommodate changing work patterns will be the organisations which reap the reward of a happy, fulfilled and motivated workforce with diverse skills. The CCGs are committed to delivering this outcome. 8
9. Monitoring and Audit of Policy This policy will be monitored for compliance and effectiveness at regular intervals by the Equality and Diversity Forum, a sub-group of the Quality and Risk Committee. Monitoring will be carried out through the progression of the EDS2 action plan which is the working document that ensures the commitments in this Policy are successfully completed. 10. Review The Equality and Diversity Policy will be reviewed on a three yearly basis from the date of approval by the Quality and Risk Committee. 9
Appendix 1 Definitions Protected characteristics These are the characteristics which are afforded explicit protection from discrimination under the Equality Act 2010. The characteristics are: Age Disability Gender Gender Reassignment Marriage and Civil Partnership Pregnancy and Maternity Race Religion and Belief Sexual Orientation Direct Discrimination This occurs when a person is treated less favourably from others in the same circumstances on the grounds of age, disability (physical, mental and sensory), gender, marital status, membership or non-membership of a trade union, race, religion, domestic circumstances, sexual orientation, ethnic or national origin, social and employment status, HIV status or gender re-assignment Indirect discrimination This occurs when an apparently neutral provision, criterion or practice would put persons of a particular group at a particular disadvantage compared with other persons. This is unless it can be shown that the provision, criterion or practice is a proportionate means to achieving a legitimate aim Associative discrimination This means someone can be directly discriminated against because they are associated with another person who possesses a protected characteristic. For example, employment cannot be refused because someone has to care for an elderly relative or a disabled child. Managing absence, flexible working, harassment and bullying and other appropriate procedures and policies should be reviewed to ensure that this concept is adequately and accurately reflected. Discrimination by perception This means someone can be directly discriminated against because others think that they possess a particular protected characteristic, even if the person does not actually possess that characteristic. For example, refusing to recruit a person purely because they are thought not to look old enough to possess the skills to do the job. Harassment This is unwanted conduct related to a relevant protected characteristic, which has the purpose or effect of violating an individual s dignity or creating an intimidating, hostile, degrading, humiliating or offensive environment for that individual. Subjecting someone to harassment can amount to discrimination and could potentially be considered to be gross misconduct. 10
Victimisation This can be described as treating someone less favourably than one would treat others because the individual concerned has, for example, made a complaint of discrimination and/or having been accused of harassment and/or given evidence about such complaint. Subjecting someone to victimisation is potentially gross misconduct. 11
Brown Principles Appendix 2 These principles have been taken from the Equality and Human Rights Commission s paper on making fair financial decisions (Equality and Human Rights Commission, 2012). Case law sets out broad principles about what public authorities need to do to have due regard to the aims set out in the general equality duties. These are sometimes referred to as the 'Brown principles' and set out how courts interpret the duties. They are not additional legal requirements but form part of the Public Sector Equality Duty as contained in section 149 of the Equality Act 2010. Under the duty public authorities must, in the exercise of their functions have due regard to the need to: Eliminate unlawful discrimination, harassment, victimisation and other conduct prohibited by the Act Advance equality of opportunity between people who share a protected characteristic and those who do not Foster good relations between people who share a protected characteristic and those who do not. In summary, the Brown principles say that: Decision-makers must be made aware of their duty to have 'due regard' and to the aims of the duty. Due regard is fulfilled before and at the time a particular policy that will or might affect people with protected characteristics is under consideration, as well as at the time a decision is taken. Due regard involves a conscious approach and state of mind. A body subject to the duty cannot satisfy the duty by justifying a decision after it has been taken. Attempts to justify a decision as being consistent with the exercise of the duty, when it was not considered before the decision, are not enough to discharge the duty. General regard to the issue of equality is not enough to comply with the duty. The duty must be exercised in substance, with rigour and with an open mind in such a way that it influences the final decision. The duty has to be integrated within the discharge of the public functions of the body subject to the duty. It is not a question of 'ticking boxes'. The duty cannot be delegated and will always remain on the body subject to it. It is good practice for those exercising public functions to keep an accurate record showing that they had actually considered the general equality duty and pondered relevant questions. If records are not kept it may make it more difficult, evidentially, for a public authority to persuade a court that it has fulfilled the duty imposed by the equality duties. 12