Integrated Impact Assessment Guidance

Purpose of the Guidance

This guidance document has been designed to provide you with supporting information that supports the completion of the Integrated Impact Assessment (IIA) Template (separate document) and the formal IIA Training available.  Please note that employees involved in the IIA process must have completed the IIA training and the mandatory corporate Equality and Diversity training, as a general understanding of equality and in particular the Protected Characteristics is required to ensure IIA is conducted effectively and appropriately.

For the purposes of this guidance the term IIA refers to both Integrated Relevance Assessment (IRA) (the screening aspect) and the full Integrated Impact Assessment process unless otherwise stated

What is Integrated Impact Assessment?

The purpose of Integrated Impact Assessment (IIA) is to ensure we comply with the law, taking account of equality, human rights, children's rights and socioeconomic disadvantage (poverty) implications when making decisions.  It also ensures decision makers are fully informed, at a formative stage in the decision making process.

This process will allow us to critically assess whether a 'proposal' has wider impacts beyond its intended outcomes and if it impacts differentially on different groups in our communities.

The term 'proposal' is used throughout this guidance note and the template (separate document) and applies to policies, strategies, provisions, criteria, functions, practices, budget savings and activities, including the delivery of services.  

Why is Integrated impact Assessment Required?

Assessing impact is an important part of the public sector's decision making process.  It is important in developing any proposal to understand how the needs of different groups and the potential barriers they may face differ.  IIA is a mechanism which enables you to consider the effects/needs/barriers and identify any potential adverse impacts of different groups.  This process also gives us the opportunity to identify and highlight positive impacts.

  It enables us to:

• Develop better policies and practices based on evidence
• Prevent or mitigate negative impacts
• Meet our legal requirements in terms of equality, Human Rights, Socioeconomic disadvantage and children's rights
• Be more transparent and accountable

When is Integrated Impact Assessment Required?

Assessing the impact is not an end in itself and should be an integral part of any 'proposal' development/change/revision/implementation etc. The regulations emphasise that it is the impact of applying a new or revised 'proposal' that must be assessed and equally we must actively consider how we could reduce inequality of outcome.

The assessment process must happen before a 'proposal' is finalised and as early in the development process as possible. The 'proposal' should be developed enough to enable an objective, reasonable and clear assessment to be undertaken.  The assessment cannot be retrospective, or undertaken only near the end of the process, but instead should be seen as integral to the development process and able to inform the consultation process. 

Assessing impact does not end with the introduction of the new or revised 'proposal'; it is important to monitor the actual impact of the 'proposal' as it is implemented, and revisit the assessment as part of any review. Therefore, assessment of impact should be considered as an ongoing, end-to-end process, from early discussions right through to the final decision about whether to go ahead with a 'proposal' or service change and beyond, to monitor the actual impact of the implementation.

In order to fulfil our general duty it is critical that all services conduct an IIA in the following circumstances;

• All significant policies, strategies, projects, service reforms/changes should have as a minimum an Integrated Relevance Assessment (IRA) built into the planning process.
• All budget options for each financial year will require as a minimum to be assessed for relevance.
• All reports to Council Executive require impacts relating to equality, human rights, children's' rights and socioeconomic disadvantage to be referenced, this should be a detailed summary included in the report and a copy of the IRA/IIA included in the background papers.

All changes to council policy or resources must be assessed for relevance and should be undertaken before any changes are agreed - this is a legal requirement.

N.B. It's important to consider cumulative impacts; this is especially relevant when you are making changes to a number of services across one or more service areas for example - making changes to policies for funding and delivering social care, day care, respite for carers and community transport.

Small changes in each of these policies may have a relatively minor effect on disabled and older people, but the cumulative effect of changes to these areas could have a significant effect on the participation in public life of these groups.

Who is responsible for completing an Integrated Impact Assessment?

The person or persons responsible for developing the 'proposal', or delivering a service are responsible for undertaking the assessment.  The duty to complete the assessment cannot be delegated, therefore the person with the ultimate responsibility for the 'proposal' and its implementation must be aware that the IRA/IIA is being undertaken and must sign off the final document. 

The IRA/IIA should be carried out as a group exercise. The group should include:

• those involved in developing the 'proposal' and bring together different perspectives on the subject matter
• those who will be involved or may ultimately implement the 'proposal'
• a person with an operational or front line perspective
• those with a particular knowledge of equality issues and
• it is good practice to invite an employee representative and/or HR colleague particularly where the proposal will have an impact on staffing arrangements or other workforce issues.

The group should consist of at least four people to bring a broad perspective, and include where possible people with protected characteristics where there are gaps in evidence.

Legal context - the Public Sector Equality Duty (PSED)

The public sector equality duty is set out in the Equality Act 2010 as the 'general equality duty'. The general equality duty requires public authorities, in the exercise of their functions, to have due regard to the need to:

1. Eliminate unlawful discrimination, harassment and victimisation and other prohibited conduct;
2. Advance equality of opportunity between those who share a protected characteristic and those who do not; and
3. Foster good relations between those who share a protected characteristic and those who do not

The specific duties were created by secondary legislation in the Equality Act 2010 (Specific Duties) (Scotland) Regulations 2012. The purpose of the specific duties in Scotland is to help those authorities listed in the Regulations in their performance of the general equality duty.

The Specific Duties (opens new window) in summary, require each listed authority to:

• report on mainstreaming the equality duty
• publish equality outcomes and report progress
• assess and review policies and practices
• gather and use employee information
• use information on members or board members gathered by the Scottish Ministers
• publish gender pay gap information
• publish statements on equal pay
• consider award criteria and conditions in relation to public procurement
• publish in a manner that is accessible

Assessment Process

There are two aspects to the assessment process, stage one screening for relevance and stage two completing a full assessment.

The types of activity that should not need to be impact assessed are:

• results from research
• reports of surveys
• meeting minutes
• progress updates

The types of activity that are likely to require a full assessment are:

• significant policies, strategies, projects, service reforms/changes, budget savings and activities
• changes that affect people i.e. employees, clients, customers, service users, members of the public
• area/partnership wide plans

Helpful points to note when completing either an IRA or an IIA are;

• the 'proposal' title should be clear and as descriptive as possible and in Plain English
• the document should be free from jargon, acronyms, abbreviations and 'council speak'
• apply a simple and straightforward approach to completion of the document and do not assume that the person or persons' reading the document are aware of what the 'proposal' is and what it is about
• provide as much detail is possible
• avoid making bold statements i.e. this 'proposal' will not disproportionality affect any equality groups or those affected by socioeconomic disadvantage unless you have clear documented evidence that can substantiate the statement
• the process should not be completed in isolation, it's a group exercise

Using trauma informed practice when completing an IIA;

Trauma-informed practice is grounded in the understanding that trauma exposure can impact an individual's neurological, biological, psychological and social development.

To take a trauma-informed and responsive lens to existing and new policies, guidance, protocols and processes please consider to what extent does the proposal:

• take into account the prevalence of trauma and adversity in our communities, including in our workforce
• consider the impact of trauma and the varied complex needs that people affected by trauma may often have
• the impact on equity of access to support and positive outcomes for people affected by trauma
• consider and respond to the barriers people affected by trauma can often face when trying to access services

For more information please see the Scottish Governments Trauma-informed practice toolkit (opens new window)

In order to complete the screening process effectively it is important to highlight/reflect the following:

• All available strategic documents associated with the proposed 'proposal'
• Any reports, consultations, external academic research and any in-house research for example data on service uptake/access, data on populations in need, that supports and informs the aims of the 'proposal'
• Areas of interest covering positive and negative impacts across all of the Protected Characteristics
• An indication of the degree of impact and how you know this
• provide a guide as to whether any impacts identified would or could be mitigated by an amendment to the 'proposal'
• conclude whether more detailed work is required to address any areas of concern, unanswered questions that have arisen or conclude that no areas of concern where identified

If whilst completing stage one you identify that no impacts have been identified and there are no areas for concern, then you mustgive adetailed explanationto support your decision rationale.This decision will require to be signed off by the Head of Service.

A detailed summary of the decision rationale must be included in any council reports and a copy of the IRA included in the background papers.

It's important to note that a review of the screening process can be actioned at any time, especially if new information becomes available or unforeseen consequences arise.

About the 'proposal'

The first part of the process is to describe and provide detail on the 'proposal' (remember 'proposal' represents and applies to policies, strategies, provisions, criteria, functions, practices, budget savings and activities, including the delivery of services) that is being assessed for impact. It is important to describe its purpose, in other words what are the aims, objectives and intended outcomes including the context within which it will operate. This provides the context for what impacts are likely and what the intention of the 'proposal' is.

If the proposal is to be carried out by contractors or suppliers

The Council provides a wide range of services to the community and businesses in West Lothian. In some cases these are provided directly by the Council, in other cases on our behalf by contractors and partners. Each year the Council enters into contracts for buying goods, works and services. Therefore, the services provided to the community should be geared towards their diverse needs and requirements.

When you are applying the specific duty in your procurement process, it will be important to keep in mind that the specific duty for public procurement is two-fold. It requires consideration of equality when deciding award criteria and the conditions relating to the performance of a relevant agreement.

For more information please see the Procurement and the public sector equality duty: a guide for Scottish public bodies (opens new window)

For support and guidance please see the West Lothian Council Procurement Unit

EQUALITY - The effect or difference for equality groups may have in relation to the 'proposal'

Completion of this section will allow you to identify the likely impacts across different equality groups or people with protected characteristics. 

The legislation requires that people are not discriminated against, harassed or victimised on the grounds of their 'Protected Characteristic (opens new window)'.  The Protected Characteristics are;

• age
• disability
• gender reassignment
• marriage and civil partnership
• pregnancy and maternity
• race - this includes ethnicity or national origin (including Gypsy/Travellers)
• religion or belief
• sex
• sexual orientation

Every person has one or more protected characteristic; therefore the Act protects all individuals against unfair treatment.

Key points to consider are:-

• potential impacts both positive and negative on each of the Protected Characteristics
• what is the scale of the potential impact - will the introduction of the 'proposal' have a significant, moderate or minor impact
• is one group likely to be more affected than another
• or is the impact more wide ranging and general in its effect
• can any impacts identified be mitigated by an amendment to the 'proposal'
• use other appropriate and relevant sources to assist with the completion of this section

HUMAN RIGHTS - The effect or difference for people's human rights in relation to the 'proposal'

Human rights are the basic rights and freedoms that everyone has. The rights are based on core principles such as, dignity, fairness, equality, respect and freedom. When they are properly put in place in society they allow us to live a dignified human life. The Human Rights Act 1998 (opens new window) sets out the fundamental rights and freedoms that everyone in the UK is entitled to. It incorporates the rights set out in the European Convention on Human Rights (ECHR) into domestic British law. 

Taking a human rights based approach is about making sure that people's rights are put at the very centre of policies and practices.

The PANEL principles (opens new window) (below) are one way of breaking down what this means in practice. 

In summary we need to consider, where applicable, to what (if any) extent a 'proposal' impacts on the key PANEL principles of Human Rights.  These are as follows:-

• Participation - people should be involved in decisions that affect their rights.  Participation must be active, free, meaningful and give attention to issues of accessibility, including access to information in a form and a language which can be understood
• Accountability - there should be monitoring of how people's rights are being affected, as well as remedies when things go wrong
• Non Discrimination - All forms of discrimination must be prohibited, prevented and eliminated.  People who face the biggest barriers to realising their rights should be prioritise
• Empowerment - Everyone should understand their rights, and be fully supported to take part in developing proposal and practices which affect their lives
• Legality - requires the recognition of rights as legally enforceable entitlements and is linked in to national and international human rights

Human Rights can be grouped into two categories:

"Civil and political" rights, such as:

• the right to life
• the right to a fair trial
• the right to privacy
• the right to vote
• freedom of expression
• freedom of religion or conscience
• freedom of assembly
• freedom from torture, inhuman or degrading treatment and slavery

"Economic, social and cultural" rights, such as:

• the right to an adequate standard of living
• the right to the highest possible standard of physical and mental health
• the right to education
• the right to work and to decent work conditions
• the right to social security
• the right to participate in cultural life and to enjoy the benefits of scientific progress

As with all impact identification; it is important to note, that the process of consideration is not limited to identifying those impacts we wish to improve or mitigate, but also where applicable, those positive impacts that may enhance the human rights of an individual(s).

Key points to consider are:-

• potential impacts both positive and negative on each of the vulnerable groups
• what is the scale of the potential impact - will the introduction of the 'proposal' have a significant, moderate or minor impacts
• is one group likely to be more affected than another
• or is the impact more wide ranging and general in its effect
• can any impacts identified be mitigated by an amendment to the 'proposal'
• use other appropriate and relevant sources to assist with the completion of this section

For more information please see the Equality and Human Rights Commission page on human rights

Children's Rights - The effect or difference for children's rights in relation to the 'proposal' - Children's Rights - The UN Convention on the Rights of the Child (UNCRC)

Children and young people have the same human rights as adults. They also have specific children's rights under the UNCRC that recognise their special needs so that they can develop to reach their full potential.

The UNCRC is an international human rights treaty that grants all children and young people a comprehensive set of rights to ensure minimal standards for children. It covers civil and political rights as well as social, cultural and economic rights. The UNCRC seeks to protect children from harm, provide for their growth and development, and empower their participation in society.

The UNCRC consists of 54 articles that set out children's rights and how governments should work together to realise these rights. The UNCRC recognises children under the age of 18 as both active rights holders and vulnerable human beings in need of special protection. Under the terms of the Convention, governments are required to meet children's basic needs and help them reach their full potential.

There are four articles which are known as the General Principles and these principles help to interpret other rights and are at the heart of a rights-based approach. Children and young people:

• Should not be discriminated against (Article 2)
• Should have their best interests accounted for as a primary consideration (Article 3)
• Have the right to survive and develop (Article 6)
• Should have their views heard and taken seriously (Article 12)

To help understand the UNCRC more easily, the rights are often divided into what are commonly called the '3 Ps': these are the rights to Provision, Protection and Participation.

The Right to Provision These are the rights to services, skills and resources: the 'inputs' that are necessary to ensure children's survival and development to their full potential; for example: health care (Article 24), education (Article 28), the right to play (Article 31).

The Right to Protection These are the rights that ensure children are protected from acts of exploitation or abuse, that threaten their dignity, their survival or their development; for example: protection from abuse and neglect (Article 19), the regulation of child labour (Article 32), protection and care in the best interests of the child (Article 3).

The Right to Participation These are the rights that provide children with the means by which they can engage in public life. This engagement will help realise their rights and prepare them for an active part in society. They include, for example: the right to express their views and have their views taken seriously (Article 12) freedom of expression and the right to information (Articles 13 and 17).

Key points to consider are:-

• potential impacts both positive and negative on each of the vulnerable groups
• what is the scale of the potential impact - will the introduction of the 'proposal' have a significant, moderate or minor impacts
• is one group likely to be more affected than another
• or is the impact more wide ranging and general in its effect
• can any impacts identified be mitigated by an amendment to the 'proposal'
• use other appropriate and relevant sources to assist with the completion of this section

For more information please see Guidance on taking a children's human rights approach  (opens new window)

SOCIO Economic Disadvantage - The effect or difference for vulnerable groups falling into poverty and disadvantage may have in relation to the 'proposal'

The Fairer Scotland Duty, part 1 of the Equality Act 2010 places a legal responsibility on the council to actively consider ('pay due regard' to) how they can reduce inequalities of outcome caused by socioeconomic disadvantage, when making strategic decisions.

In broad terms, 'socio-economic disadvantage' means living on a low income compared to others in Scotland, with little or no accumulated wealth, leading to greater material deprivation, restricting the ability to access basic goods and services. Socio-economic disadvantage can be experienced in both places and communities of interest, leading to further negative outcomes such as social exclusion. 

In summary, socio-economic disadvantage is focused on:-

• low income - cannot afford to maintain regular payments such as bills, food, clothing
• low wealth - enough money to meet basic living costs and pay bills but have no savings to deal with any unexpected spends and no provision for the future
• material deprivation- being unable to access basic goods and services i.e. financial products like life insurance, repair/replace broken electrical goods, warm home, leisure and hobbies
• area deprivation (including communities of interest and communities of place) - where you live, where you work, visit or spend a continuous amount of time can all have an impact i.e. rural areas, accessibility of transport, education and employment impact, people who have experienced homelessness and / or the asylum system, those who share an identity and / or a Protected Characteristic
• Socio-economic background - disadvantage that can arise from parents' education, employment and income - social class in other words

People who are vulnerable to experiencing poverty and disadvantage is a population that has some specific characteristics or circumstances that make it at higher risk of falling into poverty than others. Some examples include:

• People involved in the criminal justice system
• People in the most deprived communities (bottom 20 SIMD areas)
• People who live in rural area
• Pensioners
• Care experienced
• Carers including young carers
• People misusing substances
• Veterans
• Single adult households
• People who have experienced the asylum system
• Young people leaving the care setting
• Homeless people
• People with low literacy/numeracy
• People in low paid work
• People with one or more Protected Characteristic
• Single parents and vulnerable families
• People on benefits

Although the Fairer Scotland Duty is derived from the Equality Act 2010, it is separate from the public sector equality Duty (PSED), but there are clear links between the aims of both duties as those who share particular protected characteristics are often at higher risk of socio-economic disadvantage. 

Completion of this section will allow you to identify the likely impacts on vulnerable groups.  Key points to consider are:-

• potential impacts both positive and negative on each of the vulnerable groups
• what is the scale of the potential impact - will the introduction of the 'proposal' have a significant, moderate or minor impacts
• is one group likely to be more affected than another
• or is the impact more wide ranging and general in its effect
• can any impacts identified be mitigated by an amendment to the 'proposal'
• use other appropriate and relevant sources to assist with the completion of this section

For more information please see the FSD Guidance for Public Bodies (opens new window).

Other assessments that may be required

• Do I need to complete a Health Inequalities Impact Assessment?

It's worth noting that there is considerable cross over between equality, socioeconomic disadvantage and health, as many of the disadvantages faced by equality groups includes poor health and health inequalities. 

Health Inequalities Impact Assessment (HIIA) involves a more detailed assessment of equality, inequality of access to services, health and, in addition, human rights impacts.

For most proposals an IIA should be all that is necessary to highlight the issues that will need to be addressed and no further assessment will be necessary.

In some cases, involving major strategies and plans, it may be necessary to complete a full HIIA.  Guidance and supporting documentation can be found on the Health Scotland website by following the link below:

Planning resources - HIIA scoping workshop (opens new window)

• Do I need to complete a Strategic Environmental Assessment (SEA)?

Is the 'proposal' likely to impact on the environment? This must be considered due to the close links between the environment, equality, human rights, children's rights, socio economic disadvantage and health. The environment in which you live can have a significant impact on your life chances.

For most proposals an IIA should be all that is necessary to highlight the issues that will need to be addressed and no further assessment will be necessary.

In some cases, involving major strategies and plans, it may be necessary to complete a SEA, advice and guidance should be sought from Planning before you under any SEA.

Guidance and supporting documentation can be found on the Scottish Government website on Environmental assessment (opens new window).

• Do I need to complete a Children Rights and Wellbeing Impact Assessment (CRWIA)?

There maybe occasions whereby proposals significantly impact on children. On these occasions consideration of the UNCRCs Children's Rights as part of the IIA may not be sufficient and it may be appropriate to undertake an CRWIA.

CRWIA is a process through which you can identify, research, analyse and record the anticipated impact of any proposed law, policy or measure on children's human rights and wellbeing.

The CRWIA process begins with a screening stage, which should be used on all new legislation and policy (not just those that are directly related to children and young people) to help determine whether a CRWIA is required.

A CRWIA should be used on all new legislation and policy that impacts on children, not just children's services.

CRWIA follow normal impact assessment practice, and use two frameworks in the assessment:

• The UN Convention on the Rights of the Child (UNCRC) which the Scottish Government, along with other duty-bearers, is required to respect, protect and fulfil; is used for assessing impact.
• The child wellbeing indicators developed as part of the GIRFEC approach to children's services provision in Scotland are used to measure impact.

Child Rights and Wellbeing Impact Assessment (CRWIA) Guidance (opens new window)

Action/s to enable completion of the IIA

This section should be used to identify any actions that are required to be undertaken to further inform the process.  For example if you find that you have insufficient information or data about how the 'proposal' might affect one group or another therefore you decide to consult and engage with this group.

Consultation and Engagement

This section should be used to record the following information:-

• who will be or has been involved in the consultation and engagement process
• state what groups will be or have been involved in the process and describe their  involvement
• describe any planned involvement saying when this will take place and who is responsible for managing the involvement process
• describe the results of the consultation and engagement process and how you have taken this into account.

Remember you will need to consider the individual needs of those you are consulting and engaging with.  For example is the event being held in a location that is accessible to disabled people, do you require to book interpreters/translators, is the day chosen for the event 'a day of rest/worship' for certain religions/beliefs, does the location of the event have suitable public transport links, are gender neutral toilets available, does the location present safety issues for those attending if the event is being held at night, how do you intend to consult and engage with employees who are absent from work and / or off on maternity/paternity leave. For more information please see the councils Community Engagement Toolkit

Mitigating Actions

This section of the form should be used to record the following:-

If the 'proposal' has a negative/adverse impact on a particular group/s, but is still to be implemented, please provide justification for this.

Note: If the 'proposal' is unlawfully discriminatory under the Equality Act 2010 and/or is having a negative impact on poverty and socioeconomic disadvantage under the Fairer Scotland Duty, you MUST identify, how the 'proposal' can be amended or justified so the Council acts lawfully.

• How could you modify the 'proposal' to eliminate discrimination or to reduce any identified negative impacts?  If necessary, consider other ways in which you could meet the aims and objectives.
• How could you modify the 'proposal' to create or maximise the positive aspects of the proposals and to increase equality and reduce poverty and socioeconomic disadvantage.
• Describe any modifications which you can make without further delay (for example, easy, few resource implications).
• If you propose to make any of the modifications shown above, describe any potential new negative impacts on other groups in society or on the ability to achieve the aims and how you will minimise these.
•  Please describe the resource implications of any proposed modifications taking into account financial, people and property issues.

Monitoring and Review

This section of the form should be used to record the following:-

• How will the implementation and impact of the proposal be monitored, including implementation of any amendments? For example, what type of monitoring will there be? How frequent?
• What are the practical arrangements for monitoring? For example, who will put this in place? When will it start?
• How will results of monitoring be used to develop future policies?
• When is the proposal due to be reviewed?
• Who is responsible for ensuring this happens?

There will almost certainly be a range of actions that arise from the assessment process.  It is recommended that the Assessment recommendations and actions required are reviewed after six months if possible and as a minimum no longer than 12 months.  Assessment review dates should be built in to service plans and the person who owns the 'proposal' will be responsible for ensuring the actions are followed up.

Recommendation and Reasoning

This section of the form should be used to record the following:-

• Implement proposal with no amendments
• Implement proposal taking account of mitigating actions (as outlined in section eight)
• Reject proposal due to disproportionate impact on equality, human rights, poverty and socioeconomic disadvantage

Lastly you must give a reason for your recommendation.

Approval

Ensure the lead officer and the Head of Service or Depute Chief Executive signs off the assessment.

The lead officer is responsible for ensuring the final assessment is published on council website once the decision to implement has been agreed, this is a legal requirement.

A summary of the decision rationale must be included in any council reports and a copy of the IIA included in the background papers and a sent to the web team to be placed on web page - Equality Impact Assessments 

Although by no means an exhaustive list, listed below are some helpful data sources for you to consider when gathering evidence during the assessment process.

• Advisory, Conciliation and Arbitration Service (ACAS) (opens new window)
• Age Scotland (opens new window)
• Census Scotland (opens new window)
• Centre for Mental Health (opens new window)
• Chartered Institute of Personnel and Development (opens new window)
• Disability Information Scotland (opens new window)
• Enable Scotland (opens new window)
• Equality and Human Rights Commission (opens new window)
• Guide Dogs (opens new window)
• Inclusion Scotland (opens new window)
• Joseph Rowntree Foundation (opens new window)
• LGBT Youth (opens new window) 
• Limbless Association (opens new window)
• National Autistic Society (opens new window)
• Office for National Statistics (opens new window)
• Poverty Alliance (opens new window)
• Royal National Institute for the Blind (opens new window)
• Scottish Association for Mental Health (opens new window)
• Scottish Government Equality Evidence Finder (opens new window)
• Scottish Index of Multiple Deprivation (opens new window)
• Scottish Stammering Network (opens new window)
• Scottish Transgender Alliance (opens new window)
• See Me Scotland (opens new window)
• Stonewall Scotland (opens new window)
• Veterans Scotland (opens new window)
• Young Scot (care experienced) (opens new window)