Page 2 of 23. West London Mental Health NHS Trust Page 2 of 14 Policy C24 First Date of Issue: 9 th May 2012 This is current version C24/05 May 2013

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1 Policy: C24 Organisation Change Policy Version: C24/05 Ratified by: TMT Date ratified: 9 th May 2012 Title of Author: Director of Organisation Development & Workforce Title of responsible Director Director of Organisation Development & Workforce Governance Committee TPF Date issued: 2 nd May 2013 Review date: 1 st July 2015 Target audience: All Trust Staff NHSLA relevant? No Disclosure Status Can be disclosed to patients and the public EIA / Sustainability Org Change EIA.doc Implementation Plan H:\ IMPLEMENTATION PLA Monitoring Plan H:\MONITORING TEMPLATE.doc Other Related Procedure or Documents: West London Mental Health NHS Trust Page 1 of 14 Page 1 of 23

2 Equality & Diversity statement The Trust strives to ensure its policies are accessible, appropriate and inclusive for all. Therefore all policies will be required to undergo an Equality Impact Assessment and will only be approved once this process has been completed Sustainable Development Statement The Trust aims to ensure its policies consider and minimise the sustainable development impacts of its activities. All policies are therefore required to undergo a Sustainable Development Impact Assessment to ensure that the financial, environmental and social implications have been considered. Policies will only be approved once this process has been completed West London Mental Health NHS Trust Page 2 of 14 Page 2 of 23

3 Version Control Sheet Version Date Title of Author Status Comment R Lewis Draft Tabled at TPF, for consultation R Lewis Final Tabled at TPF on , C24/05 10/05/12 02/04/13 Director of Organisation Development & Workforce Ratified TMT 9th May 2012 Previous change management policy. Changes to include text to ensure EIA s are undertaken. Policy re-issued 02/05/13 West London Mental Health NHS Trust Page 3 of 14 Page 3 of 23

4 CONTENTS Page 1 Policy Statement 5 2 Purpose 5 3 Scope 5 4 Principles 6 5 Consultation Requirement 7 6 Responsibilities 7 7 Appeals 8 8 Monitoring 8 Appendices Appendix 1 - Procedure for Managing Organisation Change 9 West London Mental Health NHS Trust Page 4 of 14 Page 4 of 23

5 1.0 INTRODUCTION - POLICY STATEMENT 1.1 This policy forms part of West London Mental Health NHS Trust s commitment to create a positive culture of respect for all individuals including staff, patients, their families and carers as well as community partners. The intention is to identify, remove or minimise discriminatory practice in the areas of race, disability, gender, sexual orientation, age and religion, belief, faith and spirituality as well as to promote positive practice and value the diversity of all individuals and communities. 1.2 This policy sets out West London Mental Health NHS Trust s procedures for managing organisation change to ensure that change is handled in a way that is sensitive, consistent, fair and in line with statutory requirements and best practice. It seeks to balance the paramount need for fairness and full staff involvement with the aim of ensuring that the organisation can be efficient and flexible in the way it responds to an ever-changing environment. 2.0 PURPOSE 2.1 To provide a framework by which the Trust will implement any proposed change to the nature and size of its workforce. 2.2 To provide detailed guidance on the steps to be taken during organisation change. 2.3 To ensure fairness and equity throughout the process, ensuring employees are well supported and treated sensitively at all times. 2.4 To protect the continued employment of staff, wherever possible, and safeguard staff morale. 2.5 To ensure compliance with relevant legislation. 2.6 To ensure employees affected by organisation change are not discriminated against, either directly or indirectly, on the grounds of race, age, nationality, ethnic origin, gender, sexual orientation, marital status or disability. 3.0 SCOPE 3.1 This policy applies to any individual, department or Trust wide organisation change or restructuring which may result in significant changes to role, responsibility and/or where job losses may result. 3.2 Every instance of organisation change is different; however the potential ramifications will determine into which of the following three categories it falls: Ongoing Minor Change In order to adapt to changing requirements, it is likely that West London Mental Health NHS Trust will need to make periodic changes to roles, responsibilities and/or working practices. Staff will, therefore, be expected to accept reasonable changes appropriate to the level of their post. West London Mental Health NHS Trust Page 5 of 14 Page 5 of 23

6 Change affecting job security Changes that may affect job security, resulting in potential job losses or redeployments include: Organisational reorganisations, restructures or mergers Reductions in, or discontinuations of, specific areas of work Major changes to working practices or contractual terms Change across organisational boundaries Where organisational changes require staff to be transferred from one employer to another, the Transfer of Undertakings (Protection of Employment) Regulations, (TUPE), and subsequent amendments, will apply. Under these arrangements, the employees continuity of employment will be preserved, along with all their contractual terms and conditions of employment and any collective agreements that apply. 4.0 PRINCIPLES 4.1 All organisation change processes that might impact on job security for any affected staff will be the subject of formal consultation and regular communication with staff and their Trade Union or professional association representatives. Staff will be actively encouraged to seek advice and support from their representatives. 4.2 All major change processes must go through an equality impact assessment [EIA], to see if the change proposed, has a differential impact for staff that have protected characteristics, as defined by the Equality Act The themes that have arisen as a result of the EIA should be highlighted within the consultation, so that staff have an opportunity to respond to these trends, and raise any other diversity concerns that they may have. The EIA must be approved by the Diversity Unit before consultation. Please use the Equality Impact Assessment tool attached at appendix Consultation with staff and representatives will take place at the earliest opportunity and will provide opportunity for full contribution towards discussions. Adequate time will be given in which to respond and feedback to be given. All reasonable efforts will be made to consult with staff away from work on extended leave (e.g. maternity leave, sick leave). 4.4 Where reductions in staffing levels are necessary, the Trust will take all reasonable steps to redeploy staff to suitable alternative employment and avoid redundancies. 4.5 The Trust will seek to maximise the opportunities for existing staff to apply for posts in the new structure, giving prior consideration to existing post holders. 4.6 Where job losses may result, the statutory requirements for disclosure of information and notification to Trades Unions and the Department for Trade and Industry will apply. 4.7 Following formal consultation, a clear implementation plan will be communicated to all affected parties. Staff will be offered one-to-one meetings to discuss the personal impacts of the change/s. West London Mental Health NHS Trust Page 6 of 14 Page 6 of 23

7 4.8 The Trust will provide support to staff from Occupational Health, Staff Support Services and HR representatives. Access to Trade Union and/or professional association representatives will also be made available. 4.9 Staff of all grades who have left the employment of the Trust on redundancy or early retirement (whether voluntary or compulsory) will not normally be re-employed by the Trust in either a substantive, bank or agency capacity. Exceptions may be made where there is an urgent requirement for staff with particular skills and experience and there are compelling service and cost benefits to re-employing such staff. Such arrangements will need to be of a fixed term nature (normally no longer than 6 months) and will need to be approved by the appropriate director. 5.0 CONSULTATION REQUIREMENTS 5.1 Ongoing Minor Change - where such changes are required, the reasons for these will be discussed with staff and they will be given the opportunity to state their views and suggest any alternative solutions as part of a localised, informal consultation process. Training will be provided where necessary to equip staff with any new knowledge or skills they may require. Affected individuals will be given reasonable notice of the change and be supported, as far as practical, to adapt to the new way of working. Further information is given in the Organisation Change Procedure (appendix 1). 5.2 Changes affecting job security a more formalised consultation process will take place in such situations, including formal notification to, and engagement with, local Trade Union representatives. Prior to the commencement of consultation, such changes must be supported by a business case agreed by the Trust Executive Management Team. The ensuing steps and timescales for consultation are laid out in the Organisation Change Procedure (Appendix 1). The minimum requirements for formal consultation where redundancies are planned are as follows: 90 days before the first redundancy is to be effected where it is proposed to dismiss 100 or more staff within a 90 day period or less 30 days before the first redundancy is to be effected where it is proposed to dismiss between 20 and 99 staff (inclusive), within a 90 day period or less Where fewer than 20 staff are to be dismissed there is no legal time limit within which formal consultation must be carried out. However, consultation must begin at the earliest opportunity (as soon as serious consideration is given to any potential redundancies). 5.3 Change across organisational boundaries (TUPE) There is no legal minimum period for formal consultation where a Transfer of Undertakings is proposed, however consultation must be meaningful and allow sufficient time for staff and representatives to consider the proposals. The Trust is committed to ensuring that it will negotiate with other providers to ensure that the TUPE regulations are applied where areas of service are transferred and the Transfer is deemed to be covered by the regulations. West London Mental Health NHS Trust Page 7 of 14 Page 7 of 23

8 6.0 DUTIES 6.1 Manager s Responsibilities To treat all employees affected by organisation change with fairness and equity Where formal consultation is required, to ensure a robust plan for any proposed organisation change is prepared for consultation with staff. This should include an approved equality impact assessment, information on proposed changes to organisation structures and preparation of a business case and/or consultation paper, as necessary. Notify the Staff Side Chair and set-up collective consultation meeting/s with staff, staff side and the relevant HR representative. To give proper consideration to staff s views expressed during consultation processes, giving appropriate feedback. To seek advice and guidance from the relevant HR representative 6.2 Employee s Responsibilities To seek advice from their Trade Union, professional association or HR representative if they require clarification on any part of the Organisation Change Policy and any potential impacts on their own situation To participate in consultation processes in a constructive and timely manner, attending planned meetings as required To give full consideration to all offers of suitable alternative employment and to undertake such training as may be necessary in order to undertake the new role effectively. (A trial period of 4 weeks will be provided). 6.3 HR Department Responsibilities To provide support and expertise to managers and staff during periods of organisation change, ensuring adherence to the Organisation Change Policy and Procedure and compliance with relevant legislation. To provide advice and guidance to staff facing redundancy in respect of completing application forms and interview technique, where requested. 6.4 Pensions Department Responsibilities To provide information and advice to employees and managers as requested on redundancy and early retirement calculations. 6.5 Occupational Health Department Responsibilities To provide health and counselling support to employees subject to organisation change as required. 6.6 Diversity Unit Responsibilities To provide support and advice in the completion of equality impact assessments and to approve equality impact assessments. 7.0 APPEALS 7.1 Any dispute arising from the application of this Policy shall be heard in accordance with the Trust s Grievance and Dispute Procedure (G1). 7.2 Appeals against a decision to select an individual for redundancy will be heard in accordance with the Trust s Appeal Procedure contained within the Trust s Grievance and Dispute Procedure (G1). The purpose of such an appeal is to establish whether the manager has acted reasonably. West London Mental Health NHS Trust Page 8 of 14 Page 8 of 23

9 8.0 MONITORING 8.1 In line with NHS Guidance the Trust s Remuneration Committee receives information about redundancies and the redeployments linked to minimising redundancies. West London Mental Health NHS Trust Page 9 of 14 Page 9 of 23

10 Appendix 1 PROCEDURES FOR MANAGING ORGANISATION CHANGE 1.0 CONSULTATION PROCEDURES 1.1 Consultation, whether formal or informal, is an essential component of organisation change. It allows for clear communication and a process for obtaining feedback from various stakeholders, not least the individuals directly employed in the area where change is to be effected. 1.2 Ongoing Minor Change section 5.1 of the Organisation Change Policy applies. This informal consultation would involve: An open staff meeting where reasons for the change are communicated, and staff given opportunity to raise concerns and ask initial questions A period of time (7 to 14 days) for staff to reflect on the change, ask any further questions and give full feedback. Staff will be reminded of the option to approach their trade union or professional association representative for advice, if they so wish At the end of the informal process, the line manager would state the outcome of the consultation process and communicate an effective date for the change 1.3 Change affecting Job Security this would involve a formal consultation process, entailing: A business case approved by the Trust Executive Management Team Notification to, and engagement with, staff representatives The production of a change management paper setting out the rationale and impact/s of the organisation change One or more (as necessary) staff meetings to present the change management paper, explain the rationale and impact/s of the change and give an opportunity for staff to ask initial questions A period of time (15 to 28 days) for staff to reflect on the change, ask any further questions and give full feedback At the end of the process, the line manager would state the outcome of the consultation process and communicate an effective date for the change. Staff should be offered one-to-one meetings to discuss the personal impacts of the change/s. Where redundancies are planned as part of an organisation change, consultation arrangements are superseded by the minimum requirements for redundancy consultation, contained within 5.2 of the Organisation Change Policy. 1.4 Change across Organisation boundaries as stated in 5.3 of the Organisation Change Policy, TUPE does not impose any specific timescales for consultation. However, consultation with affected staff and their representatives must take place in a way that is meaningful and allows sufficient time for them to consider the proposals. The process of consultation should involve both the receiving organisation, and the transferor organisation. Any representations made by the staff and/or their representatives must be duly considered and any reasons for rejection must be stated. West London Mental Health NHS Trust Page 10 of 14 Page 10 of 23

11 2.0 REDEPLOYMENT / SUITABLE ALTERNATIVE EMPLOYMENT PROCEDURES 2.1 Where restructuring takes place, a logical, fair and transparent process will be put in place to fill posts in the new structure. This will take place as follows: 2.2 In order to maximise opportunities for all existing staff, new structures will normally be filled from the top down. All staff will be notified of promotional opportunities and be invited to apply for any higher-level posts via the standard recruitment process. This may be in competition with external candidates, as long as any external appointment/s would not result in an existing team member being displaced. If there is a risk of existing staff being displaced as part of this process, the posts in the new structure will be ringfenced and existing staff of a similar or higher grade will be given prior consideration over other potential candidates. 2.3 Next, members of staff will be automatically slotted-in to a post in the new structure where: Their substantive post remains largely unchanged (70% of their current responsibilities can be identified in a post in the new structure at a similar or lower grade). There is no significant grade or salary change. The number of similar available posts and postholders are equal. Slotting-in status will be applicable to part-time posts that meet all the above criteria where there is no significant increase or decrease in hours. Once a member of staff has been slotted-in, they will no longer be deemed to be at risk and will therefore be precluded from applying for other posts until all existing staff have been accommodated in the new structure, unless a promotional opportunity becomes available. All individuals who are slotted-in will meet with the relevant line manager to explore perceptions about the new role and to discuss, review and agree any training or development needs. 2.4 Where slotting-in cannot take place (due to an imbalance between the number of posts and postholders) a selection process with clear criteria will be put in place. 2.5 All unfilled posts in the new structure will be ringfenced and staff will be informed of the process by which they should express preference(s) for vacant posts. Staff should not be required to apply for their own jobs, and slotting-in should occur wherever possible. However, if there is to be a reduction in the number of like or similar posts, then management and staff representatives should agree the means of appointing individuals to vacant positions. This may include the application of selection criteria; an interview-type or assessment centre selection process. 2.6 Trial Periods All staff selected for a new post in the structure, other than those slotted-in, will have the right to a four-week trial in the post. This is to allow the individual time to make a informed decision regarding the suitability of the post, as well as for the Trust to assess whether the member of staff is suitable for the post. Either party may decide to terminate the trial period. West London Mental Health NHS Trust Page 11 of 14 Page 11 of 23

12 2.6.2 Full discussions regarding role, responsibilities, induction and support arrangements should take place before the trial period is undertaken. The trial period will give the member of staff the opportunity to determine whether the new job is suitable without necessarily losing the right to redundancy pay Regular feedback should be given to the employee during the trial period An extension to the trial period can be agreed, if it is felt that this would be in the best interests of the member of staff and the Trust. Whilst this would normally be for no more than a further four weeks, longer periods may be appropriate for more senior roles If successful, the member of staff will be confirmed in the new post. If unsuccessful, the Trust will explore other options for suitable alternative employment with the member of staff. However, this may not be possible in all cases. 2.7 Protection of Pay and Conditions If, as a consequence of organisation change an employee is required to move to a post that attracts a lower salary or lower level of regular earnings, protection arrangements will apply. These provisions apply only to employees on AfC or Trust terms and conditions Protection of salary includes basic pay and any geographical allowance/s only. Protection of earnings also includes additional allowances, e.g. on-call and unsocial hours payments, based on a 3-month average prior to the commencement of protection. The specific periods of protection are related to continuous NHS Service and are detailed below: Length of continuous NHS Service Period of protection for enduring elements of pay Less that 12 months service 3 months protection 12 months - less than 24 months 6 months protection service 2 years - less than 5 years service 12 months protection. 5 years less than 10 years service 18 months protection 10+ years service 24 months protection Length of continuous NHS Service Period of protection for averaged protectable elements of pay Under 12 months 2 months 1-2 years 4 months 2-3 years 6 months 3-4 years 8 months 4-5 years 10 months 5+ years 12 months Protection of earnings/salary will always mean protection on a marked-time basis and protection will always end when the salary and/or earnings in the new post equals or exceeds the protected salary and/or earnings. West London Mental Health NHS Trust Page 12 of 14 Page 12 of 23

13 At the end of the protection period, the basic salary will revert to that of the lowergraded post (appropriate inflationary increases will apply) A lump sum payment, as an alternative to protection, may be negotiated on an individual basis, along with claw back arrangements in the event that the individual leaves the Trust within a relatively short time frame Staff will be encouraged to apply for appropriate posts of a higher salary/grade as and when they arise during the protection period. Protection will cease if the employee voluntarily moves to a new post. 2.8 Refusal of Suitable Alternative Employment The Trust is committed to minimising redundancies and will facilitate redeployment. Should an employee unreasonably refuse an offer of suitable alternative employment, they may be disentitled from receiving a redundancy payment. 2.9 Travelling Expenses Excess travel expenses will be paid in accordance with normal arrangements to staff who are required to change their base of work as a consequence of organisation change Staff required to work on a temporary basis on a site that is not their normal base will be reimbursed excess daily travel expenses for the duration of their temporary placement (public transport rate) Staff required to change their base permanently will be reimbursed excess travel expenses for a period of up to one year (public transport rate) Staff required to change their base permanently and for whom travelling on a daily basis from their present home is impractical, may at the discretion of the Trust be eligible for Removal Expenses in accordance with the provisions of the said policy Staff required to change their base on either a temporary or permanent basis, if they choose not to move home, may be given an allowance of time per day for travelling, provided they can demonstrate that they experience significant additional travelling time. The allowance will be excess time spent on travelling, over and above existing travelling time, up to a maximum of one hour per day for the first six months (or the whole of the period of temporary transfer), and 30 minutes thereafter for a further six months for staff transferred on a permanent basis. This will either be paid at the standard rate of pay or given as reduced working hours in line with the needs of the service and the individual concerned. Time for travelling cannot be accrued as time owing. 3.0 REDUNDANCY PROCEDURES 3.1 Redundancy is a last resort and the Trust will seek to avoid compulsory redundancies by the following means: Natural turnover Suspension and/or restriction of recruitment to vacancies Review of overtime and other working arrangements West London Mental Health NHS Trust Page 13 of 14 Page 13 of 23

14 Redeployment and retraining where appropriate Voluntary redundancy/early retirement Non-renewal of temporary contracts Reduction in the use of agency and bank staff in areas where posts are at risk Any other proposal/s submitted by staff, staffside, or management, aimed at avoiding redundancies, will be considered. 3.2 Where staff are displaced as a result of organisation change either as by means of a direct reduction in the number of posts, or that they are unable to be accommodated in a new structure via the redeployment process outlined above, they will be deemed to be at risk of redundancy. 3.3 In these circumstances, contractual notice will be given and full consideration will be given as to whether the individual can be redeployed to suitable alternative employment to another post elsewhere in the Trust. This redeployment process will be equal to, and run concurrently with, an individual s contractual notice period. This may be extended in exceptional circumstances. 3.4 As soon as possible after an individual has been identified as being displaced, their line manager will arrange to meet with them to inform them of the following: The Trust s intention to dismiss them for reasons of redundancy Their redundancy terms The assistance they will be given, as outlined below The effective date of dismissal The reason for the redundancy The process for considering suitable alternative employment, as outlined in Displaced employees will normally be expected to work their notice period and take any outstanding annual leave during this period. It may however, be possible for employees to be released early where it is in the best interests of both the Trust and the employee. 3.6 In the event of organisation change that could result in job losses, staff may be offered the opportunity of taking voluntary redundancy or early retirement on the grounds of redundancy. This may be a more sensitive method of achieving the necessary reduction in workforce numbers. Staff from within the staff group affected by the organisation change, or from within the same employment category, may be invited to apply. 3.7 Where voluntary redundancy is to be offered, management in the department concerned, assisted by a Human Resources representative, will specify the selection criteria to be used. Selection shall be made by the relevant Senior Manager/Director and a Human Resources representative. Should voluntary redundancy include an entitlement to premature retirement benefits under the NHS Pension Scheme, acceptance of the volunteer will require approval that funding is available to support the request. The Trust is under no obligation to accept voluntary redundancy requests. 3.8 During any period of notice of redundancy, staff will be entitled to reasonable time off during working hours, subject to the granting of permission, to look for new employment or make arrangements for training/retraining. West London Mental Health NHS Trust Page 14 of 14 Page 14 of 23

15 3.9 The entitlements to redundancy payments for staff are either those set out in section 45 of the General Whitley Council Conditions of Service, or section 16 of the Agenda for Change Handbook, as appropriate, or statutory provisions where they are more favourable If a member of staff accepts a suitable alternative position with another NHS employer within 28 days of the effective date of termination of employment, then this is regarded as redeployment and no redundancy payment is due. West London Mental Health NHS Trust Page 15 of 14 Page 15 of 23

16 Appendix 2 Equality Impact Assessment Screening Tool - To be completed and sent to the Diversity Unit for approval 1. Name of the policy/service development being assessed? Comments 2. Name of the person responsible for carrying out the assessment? 3. What is the aim/objective or purpose of the policy/service development? Please include a summary of the policy/service development/strategy/plan being considered, specifying the change envisaged and the reason for the change 4. What is the overall benefit of the proposed objective?. Reason for change: Specify change: Proposed benefit: e.g. increased efficiency, cost savings, increased access to service etc. 5. What is the expected impact (either positive or negative) of the policy/service change for the groups listed below? Please tick affected group and supply examples. [positive=p; negative=n] Look at this from both an (i) organisational perspective; will there be a change in the workforce profile as a consequence of this change e.g. reduction in the number of female/bme senior managers and (ii) individual perspective; would a disabled member of service user/staff experience a increase or decrease in access to a service /employment prospects e.g. advantage/disadvantage of change in location; staffing levels; increased access to services Protected Characteristics Age P N Significant Slight None Disability- learning disabilities, physical disability, sensory impairment and mental health problems P N Significant Slight None Gender P N Significant Slight None West London Mental Health NHS Trust Page 16 of 14 Page 16 of 23

17 Race P N Significant Slight None Religion or belief P N Significant Slight None Sexual orientation including lesbian, gay and bisexual people P N Significant Slight None Gender Re-assignment Significant Slight None Marriage & Civil Partnership Significant Slight None Pregnancy/Maternity rights Significant Slight None Socio-economic disadvantage Significant Slight None Duty to take account of the impact of decisions on outcomes experienced by different groups e.g. access to [medical and housing provisions] and their ability to participate in society [income, unemployment education]. 6. What information do you have on possible practices that impact on diversity and equality and how has this been collected? E.g. complaints data, Joint Strategic Needs Assessments, demographic data, local/ national research, staff/ service user survey, diversity monitoring data, or anecdotal information, service user forums, community meetings. 7. What information could be collected in the future to better inform future EIA s? 8. Does this policy/service development promote equality by? [How does: (i) Eliminating discrimination;; (ii) Advancing Equality of Opportunity; (iii) Fostering good relationships between different groups] Please explain how its activities assist in achieving the above outcomes and name affected groups 9. (i) Has consultation been carried out to consider the potential impact of equality on staff/service users? If so, Method consultation: of Duration consultation: of West London Mental Health NHS Trust Page 17 of 14 Page 17 of 23

18 please specify methods used and groups consulted, when it occurred and duration of consultation; (ii) What are the key messages that have arisen and what conclusions/decisions have been reached. Key equality and diversity messages: e.g. Is there a reduction in access for a particular group because of increased travel. Conclusions/ Decisions: 10. Have the answers to the initial screening indicated a positive or a negative outcome for different equality groups? If so please state if outcome is positive or negative and specify the group, rating the level of impact (i.e. High = significant medium = some and low = little ). P N Group: Highsignificant P N Group: Medium-some P N Group: Low Little Impact may be affected by the following factors: number of people affected; extent of impact; appropriateness of service; accessibility of service. Please circle the right answer. N.b Please note that a negative impact does not always equate to discrimination. 11. Please give details of any action to be taken to reduce the adverse impact highlighted. Equality Target Group: Actions: Lead Person: Target Date: 12. Review timescales: 3 months/6 months/12 months Signature: Job Title Date: Approved by Diversity Unit Date: Please return this form to the Diversity Lead to approve. West London Mental Health NHS Trust Page 18 of 14 Page 18 of 23

19 Equality Impact Assessments (EIAs) - Guidance for Managers What is an EIA? An EIA is a systematic approach to finding out whether a policy or a service change affects, or is likely to affect, different groups of people in different ways, and identifies action necessary to improve equality performance. The groups include age, disability, gender reassignment, marriage and civil partnership, maternity and pregnancy, race, religion or belief, sex and sexual orientation. What is the purpose of an EIA? The purpose is to equality proof policies and practices by eliminating actual or potential discrimination and by identifying opportunities to promote equality. What benefits can EIAs bring to the Trust? The EIA process can enable us to integrate equality and diversity in service and policy design, development and review in very practical ways. The process underpins: Fair and inclusive services, practices and workplaces Well informed and robust decisions A reduction in health inequalities The elimination of discrimination The Trust s commitment to equality and diversity. Why must I carry out an EIA? Apart from realising the benefits outlined above, EIAs are a legislative requirement and form part of the public sector equality duties that the Trust must comply with. The Equality Act which will come into force on 1 st October 2010 has extended the public equality duty to religion/belief, sexual orientation and age and also introduces the concept of socio-economic disadvantage. EIA Process Equality Analysis The first stage of the process involves identifying if there have been concerns about different outcomes for differences groups and, if such concerns exist, ensuring that whatever information is available is recorded. The issue that has become apparent from carrying out EIAs thus far is that the Trust does not gather this information routinely and we have no systems in place for recording the information we need. Therefore some of the actions, arising from the EIA process, have focused on putting systems into place so that the next time the policy is reviewed we have the necessary information and can amend the policy as necessary. The second stage considers other information, which may have been obtained from staff and service user forums, workforce and patient data, and data from other stakeholders, national research and reports which indicates a difference in experience for different groups. Consultation can be used to test out whether the proposed change is likely to impact specific groups, in the way that the available information is suggesting. Those responsible for carrying out the Equality analysis are required to demonstrate the actions taken to address the diversity issues identified. This could include amending the policy where necessary or ensuring that the lessons learned from going through this process are fed back into training. Keep in mind The focus is on outcomes for equality rather than just going through the process. EIA looks for opportunities to promote equality, as well as eliminating discrimination. EIA is not an exact science. Information used to inform the EIA can be qualitative or quantitative, local or national. West London Mental Health NHS Trust Page 19 of 14 Page 19 of 23

20 1. Name of the policy/service development being assessed? Comments Insert name of policy Name of the person responsible for carrying out the assessment? What is the aim/objective or purpose of the policy/service development? Please include a summary of the policy/service development/strategy/plan being considered, specifying the change envisaged and the reason for the change What is the overall benefit of the proposed objective?. Insert name of responsible manger Reason for change: Insert rational for change Specify change: Describe proposal, specify change envisioned. Proposed benefit: e.g. increased efficiency, cost savings, increased access to service. 5. What is the expected impact (either positive or negative) of the policy/service change for the groups listed below? Please tick affected group and supply examples and circle either [P=positive; N=negative]. Indicate your view of the expected impact as either significant, slight, none. E.g. Possible impact: advantage/disadvantage of change in location; resulting in more/less time in travelling to location. staffing levels, patient group may require different skill set; increased/deceased access to service. The aim of this question is to raise issues of concern, so that the Trust can address these issues and consider changing practice to mitigate the possible effects. Some groups may hold particular beliefs or have concerns that may result in your service being less accessible or not being accessed at all. Some may have a perception that the policy is being inappropriately applied to them. If you are aware of any previous issues/incidents which indicate that there could be concerns for particular groups of staff or patients, even if you are not sure about the possible impact on the implementation of the change, you should record it, so that it can be tested out during the consultation, circling the N by the group that you have identified, using the headings given below. N.b. identifying such issues, does not mean that the policy/practise is unlawful. It could also be the case that you believe that your policy/service change/redevelopment will be more beneficial to certain groups e.g. a new build may be more disability friendly. You should record the possible benefits, for the group identified, circling the P, which could then be identified as good practice and replicated elsewhere to improve access for all. When considering the extent of the impact you may consider the following factors: Number of people affected, West London Mental Health NHS Trust Extent of difficulty/ease in Page 20 of 14 Policy C24 First Date of Issue: 9 th May 2012 accessing service, This is current version C24/05 May 2013 Page 20 of 23

21 Additional costs incurred. Protected Characteristics Age P N Significant Slight None Disability- learning disabilities, physical disability, sensory impairment and mental health problems P N Significant Slight None Gender P N Significant Slight None Race P N Significant Slight None Religion or belief P N Significant Slight None Sexual orientation including lesbian, gay and bisexual people P N Significant Slight None Gender Re-assignment Significant Slight None Marriage & Civil Partnership Significant Slight None Pregnancy/Maternity rights Significant Slight None Socio-economic disadvantage Duty to take account of the impact of decisions on outcomes experienced by different groups e.g. access to [medical and housing provisions] and their ability to participate in society [income, unemployment education]. 6. What information do you have on possible practices that impact on diversity and equality and how has this been collected? E.g. complaints data, Joint Strategic Needs Assessments, demographic data, local/ national research, staff/ service user survey, diversity monitoring data, or anecdotal information, service user forums, community meetings. 7. What information could be collected in the future to better inform future EIA s? Significant Slight None You may hold local or national information that highlights the experiences of a certain group, which may effect the implementation of the policy/service development. Is there any information contained in the annual staff survey, CMI Census, audits or complaints that apply to specific groups? The information may even be anecdotal or raised informally but it still needs to be recorded as per question 5 above. Are there any potential issues that could arise for different groups? It could be that there is a concern but no definite information available. You therefore need to think about what information you need to West London Mental Health NHS Trust Page 21 of 14 Page 21 of 23

22 collect (and how) in order to get a fuller picture and to establish if this concern has merit or not. 8. Does this policy/service development promote equality? [How does it affect the following: (iv) Eliminate discrimination; (v) Advance Equality of; Opportunity; (vi) Foster good relationships between different groups] Please explain how its activities assist in achieving the above outcomes and name affected groups 9. Has consultation been carried out to consider the potential impact of equality on staff/service users? If so, please specify methods used and groups consulted, when it occurred and the duration of consultation; (ii) What are the key messages that have arisen and what conclusions/decisions have been reached. 10. Have the answers to the initial screening indicated a positive or a negative outcome for different equality groups? Please circle the P or N accordingly, stating if the outcome is positive or negative and specify the group identified, rating the level of impact (i.e. High = significant medium = some and low = little ). Method of consultation: Key equality and diversity messages: e.g. Is there a reduction in access for a particular group because of increased travel. P N P N Group: Highsignificant Group: Medium-some Duration of consultation: Conclusions/ Decisions: P N Group: Low Little Impact may be affected by the following factors: number of people affected; extent of impact; appropriateness of service; 11. accessibility of service. Please circle the right answer. N.b A negative impact does not always equate to discrimination. Please give details of any action to be taken to reduce the adverse impact highlighted. Equality Target Group: Actions: Lead Person: Target Date: 12. Review timescales: 3 months/6 months/12 months Signature: Job Title Date: West London Mental Health NHS Trust Page 22 of 14 Page 22 of 23

23 Approved by Diversity Unit Date: Please return this form to the Diversity Lead to approve. West London Mental Health NHS Trust Page 23 of 14 Page 23 of 23