Equality impact
assessment toolkit
Guidance and forms
January 2012
Translations and other formats
For information on obtaining this publication in another language or in a largeprint or Braille version please contact the Electoral Commission:
Tel: 020 7271 0500
Textphone: 18001 020 7271 0500
Email: [email protected]
We are an independent body set up by the UK Parliament. Our aim is integrity
and public confidence in the democratic process. We regulate party and
election finance and set standards for well-run elections.
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Contents
Page
Quick start guidance
1
Flowchart of the equality impact assessment process
3
Stage 1 EIA screening form
5
Evaluating proportionality and relevance
6
Stage 2 Full EIA form and guidance notes
16
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Quick start guidance
The Public Sector Equality Duty.
Section 149 of the Equality Act 2010, which applies to England, Scotland and
Wales, is the Public Sector Equality Duty, also called the general duty. As a
publicly funded organization, the general duty means we must have ‘due
regard’ to the need to:
•
•
•
eliminate unlawful discrimination, harassment and victimisation
advance equality of opportunity between different groups; and
foster good relations between different groups
Due regard comprises proportionality and relevance.
Section 75 of the Northern Ireland Act
1998
Similar duties apply to our work in Northern Ireland under section 75 of the
Northern Ireland Act 1998, where we must have due regard to promote
equality and good relations between different groups.
Welsh Language Act 1993
The Commission’s Welsh Language Scheme is a requirement under Section
14 of the Welsh Language Act. The scheme sets out our principle to treat
Welsh and English on the basis of equality and covers the services we
provide in Wales
What is an equality impact
assessment?
An Equality Impact Assessment (EIA) is a tool to ensure we don’t unwittingly
exclude anybody from accessing our services or those that we play a part in
delivering. It’s also a chance to explore ways to promote equality. EIAs are
published to show everyone that we ensure we don’t discriminate.
Carrying out an EIA involves assessing the likely effects of our policies on
people according to their ‘protected characteristics’. These are age,
disability, gender reassignment, marriage and civil partnership, pregnancy
and maternity, race, religion and belief, sex and sexual orientation. In
Northern Ireland ‘persons with dependents’ and political opinion also need to
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be considered, so we include these groups in all our assessments. We also
include ’language group’ to comply with the Welsh Language Act 1993.
Whilst the term ‘policy’ is usually used, an EIA should also be applied to a
strategy, plan, function, project, service, event or review – basically any kind
of proposal.
Why do EIAs?
EIAs will help us to:
•
•
•
identify any inequalities in the provision of services and in our
employment and procurement practices
improve the quality of our services and employment
minimise risk of exposure to claims of discrimination
When should you do an EIA?
You should do a stage 1 EIA ‘screening’ whenever you are formulating new
policies and projects, when you are drafting strategies or commissioning work,
planning an event or service, or when an existing policy is reviewed or
amended. This way, equality considerations help to shape your proposals.
Who should do EIAs?
The lead officer responsible for putting together the policy should do the EIA.
The part where you assess potential impacts in relation to the nine protected
characteristics should be done in a group. This is because a discussion will
help you to understand how your policy could affect different people.
How to get started
For a stage 1 EIA screening you will have to:
1.
2.
3.
4.
5.
6.
Define your policy.
Consider what information may exist to help evaluate the potential
impacts of putting the policy into practice.
The EIA form will help you to work out the coverage, or ‘scope’ and the
impact of your policy.
Consider the proportionality and relevance of the policy and whether
you need to move on to a Stage 2 full assessment.
If your policy is unlikely to have a negative effect on more than a
handful of people, adjust it there and then and minimise the
bureaucracy.
If you conclude that a stage 2 full assessment is required, the
instructions are included in the form in this toolkit.
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Figure1: flowchart of the equality
impact assessment process
Stage 1: Preparation: pre-policy development Initial EIA
Policy not relevant to
equality
Initial screening: Define
the policy, its purpose
and relevance
Policy relevant to
equality
Identify available data to
inform your assessment
No further Assessment
necessary
Scoping to identify
potential negative
impacts and
opportunities
Consider Proportionality
and options to adjust
policy
Publish completed EIA
stage 1 initial screening
form
More extensive
assessment required to
identify impacts and
opportunities
Proceed to stage 2 full
EIA
3
Stage 2: Policy drafting & assessment
Full EIA
Consider data
necessary to inform
the assessment
Assess likely
impact
Consider policy
alternatives
Measure overall
impact
Develop your
action plan
Consult & involve
stakeholders &
t ff
Decide whether to
adopt policy
Stage 3 Monitoring &Evaluation
Monitoring &
evaluating
t
Stage 4 Sign-off and Publication
Examples of EIAs, a
detailed explanation of
protected characteristics,
a glossary of key terms
used and further useful
information about the
Equality Duty can be found
at
www.equalityhumanrights.co
m
Sign-off & publish policy
Stage 5: Monitor &review action plan
1
Monitor & review
policy action plan
Detailed Guidance for
4
EIA Stage 1 screening form
This document may be published for public scrutiny
A: Your summary details
1.
Directorate:
2.
Section/team:
3.
Job title of officer carrying out the assessment:
4.
Name of policy to be assessed:
5.
Is this a new or revised policy?
6.
Date policy scheduled for publication/implementation:
B: Your policy
1.
What is the main purpose of the policy?
2.
Are there any other objectives of the policy? If so, what are they?
3.
Do written procedures exist to enable delivery of this policy or function?
If so, please attach or include link.
4.
Who are the main stakeholders of the policy?
5.
Is the policy associated with any other Commission policy (ies)? If so,
which policy and can they be assessed together?
6.
Is the responsibility of the policy or function shared with another
organisation? If so, what responsibility and which bodies?
C: Preparation
Please consider all available information that could help determine whether
the policy could have any potential adverse impact. The information must be
set out below or attached to this form.
1.
Please list any existing data, such as previous consultations, research
or practical guidance that will assist you in completing this EIA
2.
What evidence or information do you already have about how this
policy might affect equality in any of the areas covered by the nine
protected characteristics and/or the equality groups set out in the
section 75 of the Northern Ireland Act?
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D: The Impact
You are about to assess the potential impact(s) that the policy could have with regard to each of the protected characteristics. The
potential impacts could be positive, neutral or adverse. If you identify an adverse impact you will need to consider its relevance.
Please pull out/ print out this table for reference.
There are anecdotal or small amounts
of evidence to suggest negative impact
or potential for negative impact
High relevance
The policy is Commission wide and/ or
public facing
Medium relevance
The policy is Commission wide but
mainly internal
The potential negative impact has
consequences for or affects few
people
There is significant evidence of
negative impact or potential for
negative impact
There is some evidence to suggest
potential for negative impact
The policy may have the potential to
contribute to promoting equality
The potential negative impact has
consequences for or affects
significant numbers of people
The policy has the potential to make a
significant contribution to promoting
equality
The potential negative impact has
consequences for or affects some
people
The policy has the potential to make a
contribution to promoting equality
Low relevance
The policy operates mainly in one
area, directorate or team
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D: The Impact
Please assess the potential impacts that the policy could have with regard to each of the protected characteristics. It is possible
to identify both positive and adverse impacts for each characteristic
a) Identify the potential impact of the policy on different age groups:
Age Group (specify,
e.g. younger, older )
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
b) Identify the potential impact of the policy on disabled people:
A person has a disability if s/he has a physical or mental impairment which has a substantial and long-term adverse effect on that
person's ability to carry out normal day-to-day activities.
Disability
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
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Reasons and supporting evidence for impacts identified
Please do not leave Blank
c) Identify the potential impact of the policy on people transitioning from one gender to another
Gender re-assignment
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
d) Identify the potential impact of the policy in relation to marriage/civil partnership status:
Civil partners must be treated the same as married couples on a wide range of legal matters. Also ‘status’ can refer to whether
single, divorced or separated, married or in a civil partnership
Marriage/Civil
Partnership
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
e) Identify the potential impact of the policy on pregnant women/women on maternity leave: Pregnancy is the condition of being
pregnant. Maternity refers to the period after the birth, and is linked to maternity leave in the employment context. In the non-work
context, protection is for 26 weeks after birth, and includes treating a woman unfavourably because she is breastfeeding.
Pregnancy/maternity
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
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Reasons and supporting evidence for impacts identified
Please do not leave Blank
f) Is there potential impact of the policy on different race groups? The protected characteristic of race refers to a group of people
defined by their race, colour, and nationality (including citizenship) ethnic or national origins.
Race
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
If there are potential impacts on different race groups you may find it useful to complete a more detailed race impact assessment
table (would prefer a link that can be opened to view and closed if not required)
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g) Identify the potential impact of the policy on different religious/faith groups and/or beliefs:
Religion has the meaning usually given to it but belief includes religious and philosophical beliefs including lack of belief (e.g.
Atheism). Generally, a belief should affect your life choices or the way you live for it to be included in the definition.
Religion and/or
Belief(specify)
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Buddhist
Christian
Hindu
Jewish
Muslim
Sikh
Other (please specify)
Catholic
Protestant
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Reasons and supporting evidence for impacts identified
Please do not leave Blank
h) Identify the potential impact of the policy on men and women:
Sex (Gender)
Positive
impact
Negative impact(specify
High, Medium or Low
relevance)
Neutral
impact
Reasons and supporting evidence for impacts identified
Please do not leave Blank
Women
Men
i)
Identify the potential impact of the policy on lesbian, gay men, bisexual or heterosexual people:
Sexual orientation means whether a person's sexual attraction is towards their own sex, the opposite sex or to both sexes
Sexual Orientation
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Lesbian
Gay Men
Bisexual
Heterosexual
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Reasons and supporting evidence for impacts identified
Please do not leave Blank
j) Identify the potential impact of the policy on people with dependents:
Defined as: people with a primary responsibility for: a child; a person with a disability; a dependent elderly person.
Persons with
dependents
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
k) In compliance with Section 75 of the Northern Ireland Act 1988, please identify the potential impact of the policy on people with a
specific political opinion:
Political opinion
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Unionist generally
Nationalist generally
Republican
Loyalist
Members/supporters of
any political party
other
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Reasons and supporting evidence for impacts identified
Please do not leave Blank
l) Is there potential impact of the policy on different language groups?
In compliance with the Welsh Language Act 1993, this consideration refers to a group of people defined by the language they
speak. In Wales we have a duty to provide services in Welsh and English
Language
Positive
impact
Negative impact (specify Neutral
High, Medium or Low
impact
relevance)
Reasons and supporting evidence for impacts identified
Please do not leave Blank
Welsh speaker
British Sign Language
(BSL) speaker
Other language group
(please specify)
m) As a result of completing Question 1 a-l, what is the potential NEGATIVE impact of your policy?
High
Medium
Low
If you have assessed the potential impact as HIGH NEGATIVE you must complete a full STAGE 2 impact assessment.
2. Could you minimise or remove any negative potential impact that is of medium or low significance? Explain How:
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a.
Age:
b.
Disability:
c.
Gender Re-assignment:
d.
e.
f.
g.
h.
Sex/Gender:
i.
Sexual Orientation:
j.
Persons with dependents
k.
People with a specific political opinion
l.
Welsh Language
m.
Other language group
Marriage and Civil Partnership:
Pregnancy and Maternity:
Race:
Religion and belief:
3. If there is no evidence that the policy promotes equal opportunity– could it be adapted so it does? How?
Please sign and date this form
Signed
Policy Lead
Signed
Manager/Head
Entered in Corporate EIA Register? Y/N
Published? Y/N
Date
Date
Date
Please complete the action plan on the next page
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Action Plan following Initial Screening (to feed into team business plan)
Please refer to impact
identified
Action already taken or required
(please indicate)
How outcomes of proposed
action will be measured
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Responsible
staff member
Review
date
Stage 2 Full Equality Impact
Assessment Form
Please use the information from the Stage 1 initial screening to inform this
stage 2 full EIA. The level of detail should be proportionate to the relevance
of the policy.
The guidance on page 9 will help you determine the relevance of your policy.
This EIA is to show that we are committed to ensuring that we don’t
discriminate and that we take our duty to promote equality seriously. To see
some examples of Commission EIAs, please go to:
http://www.electoralcommission.org.uk/about-us/equality-and-diversity
Introduction
This EIA analyses the potential impact of the Electoral Commission’s (Insert
name of Policy…) on the advancement of equality of opportunity, the
fostering of good relations and the elimination of discrimination, harassment,
victimisation and other conduct prohibited under the Equality Act 2010 and
section 75 of the Northern Ireland Act 1998. It is designed to ensure that the
Commission has proper regard to these aims in accordance with its duties.
Step 1 – Scope of this EIA
In this introductory section we set out the main aims of the policy and discuss
how these fit with the wider objectives of the Commission. We go on to
explore the main activities of the policy and identify who is likely to benefit
from these activities. This section concludes by considering the relevance of
the policy in relation to equality of opportunity and proposes the main issues
that need to be considered.
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1:1 Name of the policy
1:2 The main aims of the policy and how it fits in with the wider aims of the
Commission
1:3 The main activities involved and who is likely to benefit from the policy
(key stakeholders)
1:4 What we already know about the relevance of the policy in relation to
equality of opportunity. The main issues we need to consider
What issues did you identify in your initial screening of this policy and what
conclusions did you arrive at? What aspects do you need to explore in further
detail? Could you see any scope in your policy to use it to promote equality in
any way?
1:5 Additional data or information needed to carry out this assessment
What kinds of information could help improve your understanding of how this
policy would work out in practice? For example, statistics, best practice, staff
surveys? Detailed social research? Your answers to these questions will
support you later in this assessment, when you start to support your policy
decisions with evidence.
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Step 2 - Consultation
In this section we present the consultation which informs this EIA
Protected characteristics
Consultation to inform this policy
Include an outline of the responses or feedback and any
resulting actions. Please attach any relevant documents or
include links (whilst noting that this is a public document)
Age
This refers to a person
belonging to a particular
age (e.g. 32 year olds) or
range of ages (e.g. 18 - 30
year olds).
Disability
A person has a disability if
s/he has a physical or
mental impairment which
has a substantial and longterm adverse effect on that
person's ability to carry out
normal day-to-day activities.
Gender reassignment
The process of transitioning
from one gender to another
Marital status and civil
partnership
Marriage is defined as a
'union between a man and a
woman'. Same-sex couples
can have their relationships
legally recognized as 'civil
partnerships'. Civil partners
must be treated the same
as married couples on a
wide range of legal matters.
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Pregnancy/maternity
Pregnancy is the condition
of being pregnant. Maternity
refers to the period after the
birth, and is linked to
maternity leave in the
employment context. In the
non-work context, protection
against maternity
discrimination is for 26
weeks after birth, and
includes unfavourable
treatment because of
breastfeeding.
Race
Refers to the protected
characteristic of Race. It
refers to a group of people
defined by their race,
colour, and nationality
(including citizenship) ethnic
or national origins
Religion or belief
Religion has the meaning
usually given to it but belief
includes religious and
philosophical beliefs
including lack of belief (e.g.
Atheism). Generally, a belief
should affect your life
choices or the way you
live for it to be included in
the definition. In compliance
with S.75 of the Northern
Ireland Act, a distinction is
made between Catholic and
Protestant.
Sex
A man or woman
Sexual orientation
Whether a person’s sexual
attraction is towards their
own sex, the opposite sex
or to both sexes
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People with dependants
People with a primary
responsibility for: a child; a
person with a disability; a
dependent elderly person.
Political opinion
Defined under S75 of the
Northern Ireland Act 1988
as: Unionist generally;
Nationalist generally;
Republican; Loyalist;
members/supporters of any
political party; other
Welsh language:
In compliance with the
Welsh Language Act
1993, this consideration
refers to our duty to treat
Welsh and English on an
equal basis in Wales
Language Group: this
consideration refers to a
group of people defined by
the language they speak
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Step 3 – Data and evidence
In step 3 we describe the data and evidence which informs this EIA and what
this tells us about how the policy might affect equality in all the areas that
apply to the nine protected characteristics set out in section 4 of the Equality
Act 2010. We also consider additional information to fill any gaps in our
understanding of the potential effects of the function.
3:1 Data that has informed us in developing this policy
You may want to include information already identified in section C1 of the
initial screening. Then add to this with anything further that may exist and that
is relevant in that it will help you to understand potential outcomes of the
policy for different people. This could include population statistics, if your
policy extends to voters. You may find our ‘Evidence to support EIAs’ useful:
July%202012%20Evidence%20to%20support%20EIAs.docx .
If it is an internal policy there is data held about staff. A trawl of the internet
can be very useful for finding out about best practice in different policy fields
and the Commission also carries out research, which can be found on Skynet.
3:2 Evidence relating to groups having different needs, experiences or
attitudes in relation to this policy
Consider the protected characteristics in the previous section. Can you gauge
any adverse – or positive impacts on a particular group?
3:3 What this evidence tells us about the potential take-up of any resulting
activities or services
Please outline how you think this evidence will affect specific groups if this
policy is implemented. Will they be able to take up the service or benefit from
the policy?
3:4 Additional information required to fill gaps in our understanding of the
potential or known effects of the policy.
Have you considered undertaking further research?
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Step 4 – Assessing impact and
strengthening the policy
In this section we identify the potential impacts of the policy and how the
resulting activities will affect different groups and people vulnerable to
discrimination in multiple areas of equality, the potential for direct and indirect
discrimination and the reasons for this.
We do this by asking:
•
•
•
What is the potential for adverse or positive impacts of the policy?
How can the policy be improved?
Is there any chance of adjusting the policy so that it helps to promote
understanding and foster good relations between groups?
We outline the changes that we believe will help reduce adverse impacts on
particular groups and measures that could be incorporated to promote
equality and challenge existing patterns of discrimination. We go on to
consider whether any actions to address any negative effects on one area of
equality may affect other areas, and what can be done to improve access to
and take up of the policy.
It’s very important to do this part of the assessment with a group of people like
a ‘brainstorming’ session.
This is because we need to evaluate the way the policy pans out in practice
and it is best to consider and discuss all the possibilities in detail with others
who have an interest in the policy. A representative group of stakeholders is
ideal because they can give us feedback on how the policy could affect them
and how we might mitigate negative impacts.
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4:1 How the policy and resulting activities might affect different groups
Try to focus on one characteristic at a time to start with
4:2 How the policy might affect people vulnerable to discrimination in multiple
areas of equality
This would be a combination of protected characteristics, including age, disability,
gender, gender reassignment, political opinion, race, religion or belief, and sexual
orientation, and for people with dependants and specific language groups.
4:3 Consideration of whether the policy is likely to have an adverse impact,
including direct or indirect discrimination, and the reasons for this
Direct discrimination occurs when a protected characteristic is used as an explicit
reason for discriminating. Indirect discrimination occurs when there are
provisions, criteria or practices operating, which have the effect of discriminating
against certain groups of people, by putting them at a disadvantage compared
with others, and which cannot be justified as proportionate.
4:4 Comparable policy examples that could help to identify ways of mitigating any
of the adverse impacts
For example, when was the last time a policy was introduced where the same
groups of people benefitted from the policy? Were similar problems
encountered? Is there an EIA for the policy that could give you useful information
for this EIA?
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4:5 Changes to the policy that will help reduce adverse impact on particular
groups
For example, changes in communication methods, collecting data, revising
programmes or physical changes. Also, make sure any changes you make do not
produce adverse impacts in other areas.
4:7 Measures which could be included in the policy to promote equality of
opportunity
Measures which could be included in the policy to challenge existing patterns of
discrimination
Does the policy already include measures to promote equality? Can any positive
measures be included in the policy to address disadvantage and reach specific
groups? For example, changes in communication methods, collecting data,
revising programmes or physical changes
4:8 The potential of this policy to promote good relations between different groups
Please describe how this policy could be used to promote good relations and
improve understanding between people with different protected characteristics
4:9 How we will improve access to and take-up of services, and ensure
awareness of the policy
Please consider how the policy will be delivered and any opportunities this may
present to promote equality by improving understanding of the policy. This might
include increasing awareness of the policy or collecting feedback from serviceusers
4:6 Risks
Will changing the policy lead to other negative impacts?
If you have amended the policy you may need to return to step 4 to check again
for impacts
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Step 5 – Procurement partnerships
Consideration of external contractor obligations and partnership working
If contractors will be involved in delivering this policy or project the
Commission’s procurement procedure must be followed
Our procurement function EIA sets out what steps we have taken to build
into all stages of the procurement process the requirement to consider the
public sector equality duty and the equality duty under section 75 of the
Northern Ireland Act, to make sure that any organisation we engage complies
with equality legislation.
This policy involves/does not involve working in partnership with another
organisation
(delete as appropriate)
Steps we have taken to ensure that partner organisations comply with equality
legislation
Please outline what measures have been taken
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Step 6 – Making a decision
This section presents our decisions and we summarize our findings with an
overview of whether the policy will meet our obligations in relation to equality.
Our recommendations for remedies to reduce, justify or remove any adverse
negative impacts are also laid out in this section.
6:1 Summary of findings
Please summarise your findings and give an overview of whether the policy
will meet our legal obligations in relation to equality.
6:2 Actions to address negative impacts of the policy
What practical actions do you recommend to reduce, justify or remove any
adverse/negative impact? Please note that these should be reflected in the
action plan (see Step 8).
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Step 7 – monitoring, evaluating and
reviewing
This section covers our proposals for monitoring, evaluation and review. We
consider how the recommendations of this EIA will fit into the Commission’s
wider planning and review process and how we will monitor the impact and
effectiveness of the measures proposed in the previous section (step 6).
7:1 How the recommendations of this assessment will be built into wider
planning and review processes
This may include policy reviews, annual plans and use of performance
management systems
7:2 How we will monitor the impact and effectiveness of the new policy
This could include adaptations or extensions to current monitoring systems,
relevant timeframes and a commitment to carry out an EIA review once the
policy has been in place for a specified period
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Step 8 – Action Plan
This plan takes into consideration our findings outlined in Steps 1- 7 and describes our actions to progress and review the
outcomes of this assessment
Area of activity
Actions
How action will be
measured
Involvement and
consultation
Data collection and
evidence
Assessment and
analysis
Monitoring,
evaluating and
reviewing
Procurement and
partnership working
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Time
frame
Responsible
Monitoring post
post holder (job holder and
title)/ Directorate Directorate
Your feedback
Please give us your feedback about this toolkit.
Was the guidance section at the beginning clear? YES
NO
If not, please tell us more:
Was there enough information in the toolkit to support you to carry out your
assessment? YES
NO
Were any sections of the forms unclear? YES
including further information:
NO
If yes, please help us by
Do any of the following statements gauge your experience of carrying out an EIA
using this toolkit? If so, please tick one or more that most closely apply:
o I found the EIA toolkit useful
o I was able to complete my EIA without too much difficulty
o I found doing the EIA time-consuming and difficult
o I thought the EIA was a waste of time
o I found the EIA toolkit very difficult to follow and I would like further guidance
Please use this space to include any further comments:
Please return this feedback form to [email protected]
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