Undertaking An Equality Impact Assessment Toolkit

Overview

Undertaking equality impact assessments which effectively analyse strategic documents such as Community Risk Management Plan and people strategies as well as policies and procedures/processes and their potential impact on people, are important to the NFCC in that they:

  • Help us in realising at least two of our overall strategic commitments: Reducing community risk and vulnerability and to be focused on people
  • Assist us in realising one of our major overall aims which is to work collaboratively with Fire and Rescue Services promoting national approaches where they work
  • Allow us to consider our own internal activities and how we could be more inclusive.

Effective completion of equality impact assessment is also a critical consideration within all UK Fire and Rescue Services for five key reasons:

  • To meet both legal and statutory obligations in promoting equality of access and opportunity and avoiding discrimination.
  • To meet any agreed Equality commitments you may have made within your individual services to Equality. This applies in respect of both employment and fire and rescue activities. These commitments are typically detailed within your own service equality policies.
  • Many forms of disadvantage or discrimination can be unintentional, indirect or even hidden within service activities, i.e. they are not always immediately obvious or easy to recognise. Undertaking equality impact assessments supports you to identify any potential risks and agree the actions you may take to remove or reduce these risks.

Scrutiny

Good quality equality impact assessments can be supported through community and internal scrutiny, i.e. LA scrutiny panels, EDI panels/boards. Employee networks and forums are often good sources to support your analysis and provide useful insight. In addition, His Majesty’s Inspectorate of Constabulary and Fire & Rescue Services (HMICFRS) who independently assess and report on the effectiveness and efficiency of Fire and Rescue Services (in the public interest) routinely assesses approaches to how individual services ‘ensure fairness and diversity.’ (Source HMICFRS October 2021).

The NFCC unreservedly advocates equality impact assessment is the right thing to do to ensure services are providing modern and inclusive approaches fit for the 2020s.

This toolkit details exactly how and why an equality impact assessment should be completed. It includes tools, techniques, examples of exemplar practice and external resources and reference points.

Legal and statutory requirements

The Equality Act 2010

The Equality Act 2010 which protects people against discrimination on the ground of:

  • Age
  • Disability
  • Gender reassignment
  • Marriage and civil partnerships
  • Pregnancy and maternity
  • Race
  • Religion and belief
  • Sex
  • Sexual orientation

The Public Sector Equality Duty

The Public Sector Equality Duty was created by the Equality Act 2010 (section 149).  It requires public authorities and other bodies (which includes all Fire and Rescue Services) to have “due regard” when exercising public functions to:

  • Eliminate unlawful discrimination, harassment, victimisation and any other conduct prohibited by the Equality Act.
  • Advance equality of opportunity between people who share a protected characteristic and people who do not share it; and
  • Foster good relations between people who share a protected characteristic and those who do not share it.

The application of the Public Sector Equality Duty differs in England, Scotland, Wales and Northern Ireland. In England, equality impact analysis is not a legal requirement but a very good tool for evidencing due regard.

Completing equality impact assessments allows you to analyse and record how your service has applied this ‘due regard’ when considering changes to activities, services, functions or policies.

Having due regard for advancing equality involves proactively:

  • Removing or minimising disadvantages suffered by people due to their protected characteristics.
  • Taking steps to meet the needs of people from protected groups, where these are different from the needs of other people.
  • Encouraging people from protected groups to participate in public life or in other activities where their participation is disproportionately low.

Case law has set out broad principles, sometimes referred to as the ‘Brown principles’ about what public authorities need to do to apply due regard effectively. These principles are not additional legal requirements but good practice:

Knowingly – Decision-makers must know their duty to have ‘due regard’ and the aims of the duty.

Timely – Due regard must be 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.

Consciously – The duty cannot be discharged or satisfied by justifying a decision after it has been taken.

Rigorously – The duty must be exercised in substance, with rigour and with an open mind in such a way that it influences the final decision.

Integral – The duty has to be integrated within the discharge of the public functions; it is not a question of ‘ticking boxes’.

Owned – The duty cannot be delegated and will always remain the responsibility of the organisation subject to it.

It is important to consider the duty is upon the decision maker personally. What matters is what they considered and what they knew.  Organisations must assess the risk and extent of any adverse impact and the ways in which such risk may be eliminated before the adoption of a proposed policy, process etc.

It is good practice to keep an accurate record showing how the duty has been considered, and relevant questions have been pondered. If records are not kept, it may make it more difficult, evidentially, for a service to persuade a court that it has fulfilled the duty imposed.

What is an equality impact assessment?

An equality impact assessment is effectively a risk assessment. Its overall aim is to identify risk of inequality, discrimination or disadvantage within service activities (or proposed activities) by assessing the likely impact your policies, procedures, projects or functions might have on the different groups of people you both serve and employ.

This includes residents, community groups, employees and other members of the public who may be affected by your activities.

Example:

A service has a policy of leaving all appliance’s blue lights switched on when attending incidents – including residential dwelling fires.

This policy applies equally to all incidents and people. However, on balance, there is a risk that this policy could adversely affect certain groups of people differently. For example, people with certain neuro diverse conditions, including autism and epilepsy who may be extremely sensitive to sounds, sights, or smells – similar to a condition known as sensory processing disorder.

The service has never previously considered how this policy may impact on neuro diverse groups and completing an equality impact assessment allows the undertaking of external research and consultation which ultimately leads to a revision of this policy.

Benefits of undertaking an equality impact assessment

There are numerous benefits of undertaking an equality impact assessment. These include:

  • Identifying and meeting the needs of diverse residents and employees.
  • Designing inclusive services and facilities.
  • Avoiding discrimination and disadvantage.
  • Embedding Equality and Inclusion in all activities and bringing equality policies to ‘life’.
  • Meeting legal and statutory duties.
  • Proactively identifying potential discrimination rather than it being brought to our attention by residents or employees.
  • Improved decision-making.
  • Improved procurement and commissioning of services

Promoting Equality of opportunity and access does not mean treating people equally. We may sometimes do different things to meet the needs of different groups of people.

When is an equality impact assessment required?

An equality impact assessment is required for the majority of service and employment activities that have an impact on people – this includes:

Initial screening

Some services use a short Initial Screening Tool in the first instance, to make a preliminary assessment of an activity. The aim of an Initial Screening tool is to:

  • Establish if, on balance, any Equality risks exist.
  • Ascertain if any risks identified are capable of being objectively justified.
  • Decide if any further research and a full, more detailed equality impact assessment is required.

The decision as to whether you use an Initial Screening tool is entirely yours. An example screening template is available within the resources section of this toolkit.

A five stage approach to undertaking equality impact assessments

In this section of the toolkit, we will detail a five stage structured approach to undertaking equality impact assessments.

Each stage is explored, in greater detail, within the following sections of this toolkit.

  1. Defining Aims of the Activity
  2. Assess Risks – Direct and Indirect
  3. Accessibility Considerations
  4. Profiling Information
  5. Full Equality Impact Assessment and Action Plan

Defining the aims of an activity

Before commencing an equality impact assessment, it is essential that you establish and understand the answers to the following questions:

  • Why does the policy, activity or function exist within our service? 
  • What are the legitimate aims, i.e. what is it aiming to achieve? 
  • Can we objectively justify implementing activities which may, on balance, discriminate against certain sections of society?

Examples of defining aims and justifying discrimination

Activity: Summary of Aims: Potential Equality Risks:
Fire Rescue Service Cadets Scheme Provide opportunities for people aged 13 – 17 to gain fire and rescue service experience. Age discrimination.

The negative impact on other age groups is capable of being justified, as the scheme is designed to benefit young people.
Policy requiring firefighters to be clean-shaven Allow the breathing apparatus to fit correctly. Will generally only apply to men and may disadvantage men from certain religions who do not shave, e.g. Sikh.

This negative impact is capable of being justified on the grounds of health and safety.
Implementing a compulsory practical swimming test for firefighters. Ensure all firefighters can deal with water-based rescue incidents. May discriminate against people from certain ethnicities who, for cultural reasons, may not have learnt to swim and people with certain disabilities.

This negative impact may not be justified, and a full equality impact assessment and further research and consultation is required.

Accessing Risks

Equality risks can be both directly and indirectly discriminatory. This part of the toolkit examines the difference between the two.

 

Definitions of Direct and Indirect Discrimination

Direct Discrimination

Direct discrimination is often both overt and obvious, and excludes or discriminates against different sections of the community.

Where you identify Direct Discrimination as part of an equality impact assessment, you should consider the following three key questions:

Is this discrimination capable of being objectively justified based on the overall aims of the policy / activity?

Does the direct discrimination affect any of the groups of people protected by the

Equality Act and is therefore unlawful?

(Age, Disability, Gender Reassignment, Marriage and Civil Partnership, Pregnancy and Maternity, Race, Religion or Belief, Sex or Sexual Orientation)

Could we reduce or remove the discrimination by changing our approaches?

Example:

A service has a policy of undertaking ‘Safe and Well’ visits with residents who are over 65. You undertake an Initial Screening of this policy and identify Direct Age Discrimination in that people under 65 are not entitled to such visits.

Using the three key questions above, you identify the following:

The policy exists as part of the service’s support to older residents who, on balance, have higher fire risks. This is also supported by local fire incident data.

The policy directly discriminates against younger residents. ‘Age’ is one of nine characteristics protected by The Equality Act 2010 and this discrimination is therefore at risk of being unlawful.

Undertaking ‘Safe and Well visits’ with all residents would be logistical impossible, but the risk is mitigated by including both disabled residents and other groups you identify as being vulnerable – again using local and national fire research information.

Indirect Discrimination:

This can often be slightly more complicated, unlike direct discrimination, indirect discrimination is often not obvious, overt and may be unintentional.

It is important to note that unintentional or even accidental discrimination may explain but does not excuse unlawful discrimination in the eyes of the law

Example:

A service advertises for internal security staff by placing the advert:

Security Guards Required:

Must be:

  • DBS checked – no criminal record
  • Over 1.7 meters (5ft 7”) tall
  • No facial tattoos

You undertake an initial screening on the job adverts using the three key questions:

Is this discrimination capable of being objectively justified based on the overall aims of the policy / activity?
Does the direct discrimination affect any of the groups of people protected by the Equality Act and is therefore unlawful?
Could we reduce or remove the discrimination by changing our approaches?

You conclude:

The overall aim of the activity is to recruit security staff to protect service buildings and facilities, which is a legitimate function. The job description stipulates a height restriction of 1.7 metres. A key requirement of the role is to have an ‘authoritative presence’.

The policy directly discriminates against people with a criminal record, smaller people and tattooed people. None of these characteristics are protected by The Equality Act 2010.

The job specification stipulates a height restriction and there is a genuine reason for including this in the job advert.

At this stage, a fourth and very important question is required:

Is there a risk that this activity could disproportionately impact on certain groups of people? Particularly, the groups listed on the NFCC equality impact assessment document.

In this context, ‘disproportionate’ means that on balance, some groups of people would have greater difficulty complying with the stipulated requirements than others.

What would you recommend as part of your Initial Screening?

Example answer for this initial screening recommendation:

This height restriction stipulated in this job advert presents a risk of indirect discrimination towards both women and people from certain ethnicities who, on balance, may be less likely to meet this height requirement.

A full Equality Analysis is required, which should include an objective review of the job description to establish if people who are less than 1.7 metres tall could reasonably undertake this role.

The indirect discrimination identified is potentially unlawful, so the job advert should be removed until further research is complete.

Treating identified risks

If you identify any potential equality risks when undertaking an equality impact assessment, you are ultimately required to consider one of three different actions. These are:

Remove the risk by discontinuing the policy or activity.
Mitigate or reduce the risk by amending the policy or activity.
Justify the discrimination. As previously stated, in certain circumstances, the service may genuinely be required to treat different groups of people in different ways to deliver a service which can be objectively justified.

Example:

A service has a cadet’s policy that prohibits all cadets from wearing any form of jewellery for health and safety reasons. You undertake an initial screening of this policy and identify at least two potential risks of inequality:

Sex – on balance, more female cadets may wear jewellery compared to other sexes.

Religion – certain religions (for example, Sikhs who may be required to wear a bangle and Christians who may wish to wear a cross) wear jewellery as part of their faith.

You undertake a more detailed equality impact assessment of this policy using information and research, and ultimately recommend:

The policy should not be removed completely, as there are legitimate reasons for its existence and implementation.
Any discrimination against people of different religions / faiths cannot be objectively justified, as the policy could easily be modified to reduce this risk.
The policy should therefore be amended to state that whilst most jewellery is forbidden, e.g. rings, earrings, nose rings etc. Jewellery that is directly related to an established faith group may be worn.

Accessibility

An equality impact assessment requires you to consider how accessible an activity, policy or function is:

Physical access to services

You should be able to demonstrate that your service has taken all reasonable steps to ensure that a policy, service, function or activity is physically accessible.

This should be in respect of employees and service users that have any physical limitations or impairments. This should include buildings and premises and the accessibility of information (in different formats/ fonts etc).

Digital exclusion

Where services or information are provided digitally, you should also consider non-digital options for people who do not use or cannot access them by electronic means.

Language

Ensure key information is available or easily translated for all, this may be sign language, or languages used by your communities served by your service.

Nonvisible disabilities

You should consider how the activity being assessed impacts on all types of disabilities, including neuro diverse conditions and learning disabilities.

Profiling information

Where an equality impact assessment identifies potential equality risks, data is generally required to support your conclusion.

It is important to use the most up-to-date data available when completing an equality impact assessment, the data used can often be a combination of quantitative, qualitative, or service data.

Common Types of Data Used

  • Quantitative data refers to numbers / metrics and can include demographic information about employees and communities. Both the Office for National Statistics (www.ons.gov.uk) and partner organisations (especially your local authority) may have data to support your analysis.
  • Qualitative data refers to the experience of individuals (or groups) from their own perspectives. This type of data is most commonly collected via either consultations, focus groups, review of complaints made, user feedback or interviews.
  • Service data is also a valuable evidence source when carrying out an equality impact assessment and can provide an insight into the profile of people who utilise the service or activity being assessed. For example, fire data, data collected at incidents etc.

You should always aim to evidence references to data where possible, by including links to the source of the data. 

Consultation

Consultation, as part of an Equality analysis, can typically be drawn from one of three sources:

  • Existing data extracted from staff and service users. (E.g. incidents, safe and well visits, staff surveys etc.)
  • Data metrics, paying particular attention to disproportionality in access and outcomes. For example, job applicant success rates by Sex, Ethnicity and Age.
  • Targeted bespoke employee or community consultation for specific projects.

You may also use national research and consultation from sources such as:

  • The Office for National Statistics – particularly for socio and economic and employment related Equality Analysis.
  • The Equality and Human Rights Commission.
  • The Government Equalities Office.
  • Third Sector agencies like Citizens Advice.

You may find it useful to review any equality analysis reports already undertaken and published (via the web) on similar policies or functions by other organisations, particularly other UK Fire and Rescue Services.

The intention would not to copy what other people have done, but to draw both inspiration and ideas from external sources!

Full equality impact assessment

A full equality impact assessment can be completed using the NFCC template or an alternative template, an equality impact assessment should contain at least the following key elements:

  • A date and owner, i.e. when the assessment was performed and by whom.
  • Details of the policy, process, activity or function being assessed.
  • Details of the related policies and any separate equality analysis that may be required.
  • As list of those potentially impacted by the activity, e.g. employees, customers.
  • The aim of the policy, process, activity or function from the organisational perspective.
  • List equality profiling data available (at least race, sex, disability and age).
  • Reference any consultation activities or data use (e.g. survey information).
  • List the financial implications of savings or expenditure.
  • Equality impact analysis across protected characteristics.
  • As risk rating of discrimination, such as:
    • Likely, not likely, high impact or positive, neutral, negative.
    • All discrimination identified is either removed, mitigated or justified.
    • An action plan containing SMART objectives.
    • A review date.

An equality impact assessment should be a detailed and comprehensive, providing a proportionate and relevant assessment of an activity.

Example analysis

The Analysis

What impact will the implementation of this proposal have on people who have characteristics protected by The Equality Act 2010?

Protected Characteristic: Neutral Impact Positive Impact Negative Impact Evidence of impact and, if applicable, justification if determining proportionate means of achieving a legitimate aim.
Sex
(men and women)		 ✓ There is no evidence to suggest this activity would have any adverse impacts on residents or potential residents on the grounds of their Sex. Whilst the existing register of landlords does indicate the majority of existing licenses are held by men, we conclude that the proposed use of this activity would, ostensibly, be neutral on the grounds of Sex. There is no date (nationally or locally) relating to resident profiles to indicate whether the activity is likely to be used by one sex more than another.

On balance, we conclude a neutral impact in respect of Sex.
Race
(all racial groups)		 ✓ Whilst there is no statistical data indicating the profile of HMO residents by Ethnicity, we conclude that a risk of potential adverse impact may exist towards people of different ethnicities if the future growth of this activity in the locality.

One of the third sector organisations contacted during this activity stating they have reported a marked increase in the number of requests for food parcels from HMO residents in the area during the COVID-19 pandemic. The (anecdotal) accounts of the profile of the HMO residents concerned were reported as “A predominance of eastern European, Black and African migrant workers.”

One third sector organisation has kindly offered to undertake a small piece of separate analysis in respect of the profile of their HMO service users by

Postcode and known Ethnicity. When this analysis is complete, we will add the information as an appendix to this document.

Whilst this adverse impact is not proven, it also cannot be wholly discounted due to an absence of accurate equality profiling data.

We therefore conclude, on balance, a risk of adverse impact

It should not generally contain one-line summaries. If a risk of ‘nil impact’ is recorded, you should state why. For example:

“Whilst there is currently no evidence to suggest that female employees are placed at a disadvantage compared to their male or non-binary counterparts, it is recommended that an analysis, by Sex, be performed by H.R. of the ‘lifecycle’ of employees accessing this activity to identify if any adverse trends (e.g. success rates) exists between male, female or non-binary firefighters.”

Examples of completed equality impact assessments can be found within the resources section of this toolkit.

Tools for effective equality impact assessment completion

Smart Questioning Tools:

You may find this list of examples questions useful when completing an equality impact assessment.

Smart Questions to Use:

  • Could different groups of people have different needs, expectations or requirements from us?
  • Could different groups of people have different outcomes if treated equally?
  • Is different communication (language, pace or method) required?
  • Could using one approach to all result in disproportionate or less favourable outcomes?
  • Could disability be affecting perception of risk or danger?
  • Do statistics indicate higher risks amongst certain groups?
  • Do we require different treatment due to cultural age norms?
  • Is physical access an increased risk due to bariatric or other mobility issues?
  • Do we need to consider the needs of people who identify with both genders or none?
  • What religious or cultural sensitivities do we need to be mindful of?
  • Are children at risk as part of the activity? Does this require a difference of approach?
  • Does the provision of a telephone only service create potential barriers to some groups?
  • Does the provision of a digital only service create potential barriers to some groups of people?
  • Do we deliberately discriminate (treat some people more or less favourably) and is this justifiable?
  • What is the overall aim (reason or justification for existence) of this activity, service or policy?
  • What are our legitimate aims when implementing this activity?
  • Do our legitimate aims require us to legitimately treat different groups of people differently?
  • Is any different treatment capable of being justifies in pursuing our legitimate aims?

SMART Action Planning

Please ensure that any actions listed at the end of your equality impact assessment meet the basic SMART test in that they are:

  • Specific
  • Measurable
  • Achievable
  • Realistic
  • Time Bound

They should also list:

  • The person responsible for the action
  • A review date

Example action planning

Action planning

As a result of performing this analysis, what actions are proposed to remove or reduce any risk of adverse outcomes identified in employees, service users or other people who share characteristics protected by The Equality Act 2010?

Tools, resources and downloads

Further technical guidance on producing equality impact assessments published by the Equality and Human Rights Commission (England and Wales) Advanced users only

Further technical guidance (EHRC Equality Information Guidance) on collecting equality profiling information for public bodies.

What is the Public Sector Equality Duty, Equality and Human Rights Commission: (5-minute YouTube video)

Glossary

Advancing equality of opportunity

The second of the equality aims, focused on removing or minimising disadvantages suffered by persons who share a relevant protected characteristic that are connected to that characteristic. Taking steps to meet the needs of persons who share a relevant protected characteristic that are different from the needs of persons who do not share it and encouraging persons who share a relevant protected characteristic to participate in public life or in any other activity in which participation by such persons is disproportionately low.

Age

One of the nine protected characteristics, this refers to a person having a particular age (for example, 32-year-olds) or being within an age group (for example, 18-30 year olds).it includes all ages, including children and young people.

Civil partnership

Legal recognition of a same-sex couple’s relationship. Civil partners must be treated the same as married couples. ‘Marriage and civil partnership’ is one of the nine protected characteristics in the Equality Act 2010.

Different needs

The different requirements that people with protected characteristics may have which either must or should be met to provide equality, including equality of opportunity and access. Having due regard to the need to meet different needs is one element of having due regard to advancing equality of opportunity (see above).

Direct discrimination

Less favourable treatment of a person compared with another person because of a protected characteristic. It includes discrimination because someone is perceived to have a protected characteristic, or where someone is discriminated against because they are associated with someone else who has a protected characteristic.

Disability

A person has a disability if s/he has a physical or mental impairment which has a substantial and long-term adverse effect on their ability to carry out normal day-to-day activities. Disability is one of the nine protected characteristics in the Equality Act 2010.

Disadvantage

A detriment or impediment – something that the individual affected might reasonably consider changes their position for the worse.

Discriminatory effect

Where the consequences of a decision or policy result in less favourable treatment because of a protected characteristic. See also Direct discrimination and indirect discrimination.

Disproportionately low

Refers to situations where people with a protected characteristic are under-represented (for example in the workforce or among service users) compared to their numbers in the population.

Fostering good relations

The third of the equality aims.  The Equality Act 2010 states this involves having due regard to the need to tackle prejudice and promote understanding.

Gender reassignment

This is the process of transitioning from one sex to another. The act protects people who are proposing to undergo, are undergoing or have undergone a process (or part of a process) to reassign their sex. It is one of the nine protected characteristics under the Equality Act 2010

Impact

This term refers to the effect or potential effect that a decision, policy or practice has on persons with protected characteristics. Impacts can be positive, negative or neutral.

Indirect discrimination

The use of an apparently neutral practice, provision or criterion which puts people with a particular protected characteristic at a disadvantage compared with others who do not share that characteristic, and applying the practice, provision or criterion cannot be objectively justified.

Marriage

Marriage is no longer restricted to a union between a man and a woman, and now includes a marriage between two people of the same sex. Same-sex couples can also have their relationships legally recognised as ‘civil partnerships.’ ‘Marriage and civil partnership’ is collectively described as one of the nine protected characteristics in the Equality Act 2010.

Maternity

See Pregnancy and maternity.

Mitigated

This is when measures are put in place that lessen the negative effects of decisions, practices or policies on people with protected characteristics.

Objectively justified

This is when something can be shown to be a proportionate means of achieving a legitimate aim – that is, the way of achieving the aim is appropriate and necessary.

Pregnancy and maternity

Pregnancy is the condition of being pregnant or expecting a baby. 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 giving birth, and this includes treating a woman unfavourably because she is breastfeeding. Pregnancy and maternity is one of the nine protected characteristics in the Equality Act 2010.

Proportionality

The weight given to equality should be proportionate to its relevance to a particular function. This means giving greater consideration and resources to decisions, procedures, policies or functions that have the most effect on equality.

Race

This is the protected characteristic of race. It refers to a group of people defined by their colour, nationality (including citizenship), ethnic or national origins. It is one of the nine protected characteristics under the Equality Act 2010.

Relevance

How far a function or policy affects people, as members of the public, and as employees of the authority. Some functions may be more relevant to people with certain protected characteristics than to others, and to one or more of the three aims of the general equality duty.

Religion or belief

Religion means any religion, including a reference to a lack of religion. Belief includes religious and philosophical beliefs, including lack of belief (for example, Atheism). Religion or belief is one of the nine protected characteristics under the Equality Act 2010

Sex

Someone being a man or a woman. It is one of the nine protected characteristics under the Equality Act 2010

Sexual Orientation

This is whether a person’s sexual attraction is towards their own sex, the opposite sex, or to both sexes. It is one of the nine protected characteristics under the Equality Act 2010.