Annual Workforce Equality and Diversity update, including Workforce Race Equality Standard (WRES) Purpose of the briefing 1.1 The purpose of this report is to set out the progress made against the CCG’s Workforce

Equality and Diversity Plan (Appendix A) , which includes the CCG producing an annual Workforce Race Equality Standard (WRES) Report (Appendix B) . Both documents are appended for noting and any comments.

Background 2.1 The CCG’s Equality Objectives Plan 2015/18 was approved by the Governing Body in

January 2016. The objectives are:

a) To make fair and transparent commissioning decisions;

b) To improve access and outcomes for patients and communities who experience disadvantage;

c) To improve the equality performance of our providers through robust procurement and monitoring practice;

d) To empower and engage our workforce.

2.2 The Equality Objectives Plan includes a Workforce Equality and Diversity Plan which is provided at appendix A. The final item on the plan requires the CCG to produce an annual WRES Report covering the 9 National Workforce Race Equality Standard indicators, which is at appendix B.

2.3 The Finance and Resource Committee received a briefing in August 2016 which gave an

update on progress against the Workforce Equality and Diversity Plan and an outline of all the requirements that need to be met in relation to workforce. This briefing provides a further update, including in relation to the WRES.

3. Key Issues 3.1 The CCG needs to ensure that employment practices, policies and procedures do not treat

staff less favourably on the grounds of gender, race, colour, ethnic or national origin, sexual orientation, marital status, religion or belief, age, trade union membership, disability, offending background, domestic circumstances, social and employment status, HIV status, gender reassignment, political affiliation or any other personal characteristic as outlined in the Equality Act (2010) and any other status covered by the Human Rights Act (1998). Diversity will be viewed positively and, in recognising that everyone is different and the unique contribution that each individual’s experience, knowledge and skills can make is valued.

3.2 It is important that CCG policies deal with the equality implications around recruitment and

selection, pay and benefits, flexible working hours, training and development, and protecting employees from harassment, victimisation and discrimination. In order to achieve

this, there has to be a high degree of awareness of how policies are implemented by managers and how staff interact and work with others. A work place can unintentionally discriminate by applying its procedures or an ‘accepted work culture’ in such a way that hidden discriminatory barriers occur – this is known as ‘institutional or indirect discrimination’.

3.3 The Workforce Equality and Diversity Plan supports the CCG to meet its Equality

Objectives and the WRES is an added component which aims to identify discrimination against Black and Minority Ethnic (BME) staff in the NHS, and to galvanise cultural and organisational change. The standard supports the vision set out in the Five Year Forward View and the need to ensure NHS workforces experience inclusive and non-discriminatory opportunities.

3.5 The CCG has two roles in relation to the WRES – as commissioners of NHS services, and

as employers. This committee is concerned with the CCG’s role as an employer, which requires a commitment to the principles and to apply as much of it as possible to its own workforce. In practice this requires CCGs to collect data on their workforce, analyse it, and produce and publish an annual WRES Report B) and action plan.

4.1 3.6 The CCG’s WRES data in the annual report attached covers the period 1 April 2016

– 31 March 2017. As the CCG workforce size is small, care must be taken to ensure individuals cannot be identified, and the data must be approached with caution as the size of the workforce is too small to constitute a valid sample size and one or two individuals can have a significant impact on percentages. However this is a requirement by NHSE.

5. Actions being taken by the CCG 5.1 Progress relating to the Workforce Equality and Diversity Plan since the last report - To

empower and engage our workforce - ensuring compliance with the Equality Act, can be seen on appendix A, with the following items and new actions highlighted:

a) Equality Impact Assessments continue to be completed on HR policies

produced/reviewed, using a standard checklist to ensure policies do not affect one group less or more favourably than another and the impact of the policy is not likely to be negative (Owner CSU)

b) The Commissioning Support HR Business Partner is currently working with their Workforce Team and the CCG to establish relevant monitoring systems for each of these key policies to identify any indirect discrimination and consider whether any action is required;

6. Summary

6.1 This report highlights progress made against the CCG’s Workforce Equality and Diversity Plan (Appendix A), provides the WRES Report (Appendix B) for the period 1 April 2016 – 31 March 2017 demonstrating ‘due regard’.

Appendix A - Workforce Equality and Diversity Plan – Updated September 2017 Appendix B - Workforce Race Equality Standard (WRES) Report

Author: Andy Woods Senior Governance Manager (Merseyside CCGs Equality & Inclusion Service) Andrew.woods@southseftonccg.nhs.uk Mobile: 07825111596 November 2017

Appendix A - Southport & Formby and South Sefton CCGs Workforce Equality and

Diversity Plan 2015 2018

Task Activity Outcome EDS comparator

Action plan

Policy Proofing 2016-2018

1. Prioritise policies

2. Identify policy against essential list

3. Identify guidance with policy1 and test for indirect discrimination & advancing opportunity

1. Proportional input.

2. Cover fundamental elements of Equality Act 2010

3. Impact assess process against PSED – identifying any remedial actions

3.1 3.4 Owner – Human Resource Business Partner (HRBP)

Completed All CCG HR Policies which have been and prioritised in relation to equality Act 2010 requirements

Monitoring 2016-2018

Identify policies and performance for monitoring – check against key tasks:

Recruitment

Selection

Review & performance

Disciplinary

Establish monitoring system

Identify indirect discrimination

Consider positive action or corrective action

3.1 3.2 3.3 3.4 4.3

Owner – HRBP

In Progress HRBP is currently working with the Workforce Team to establish relevant monitoring systems for each of these key policies

Training March 2018

Identify current training programmes linked to E&D

Proof suitability and identify gaps in provision. Check profile of attendees against worker profile

3.3 4.3

Owner – HRBP In Progress A new learning Management system has been implemented with a reviewed and updated Equality and Diversity module

As above monitoring

1 policy may be a statement of intention but the process of enacting the policy, i.e. guidance notes ,

also needs to be proofed

systems are currently being implemented

Annual review

Establish best measure for review programme

Performance of policies monitored against PSED

3.3 3.4 3.5 4.3

Owner – CCG

Supported by HRBP

In Progress

Staff surveys The CCG to continue to utilise national NHS staff survey including questions on E&D

Understanding staff relationship with organisational culture to eliminate any institutional discrimination

3.4 3.6 4.3

Ongoing

Owner – CCG Complete Analysed by relevant committees including Governing Body.

Positive Action

1. Monitor performance against policies to establish base line

2. Identify trends

3. Establish conditions for positive action

Challenge barriers if data/evidence identifies them Advance equality of opportunity.

3.2 3.5 3.1 3.3 3.5 4.1 4.3

Owner – HRBP

In progress HRBP is currently working with the Workforce Team to establish relevant monitoring systems for each of these key policies

Implement NHS Workforce Race Equality Standard

Implement and embed the 9 national Workforce Race Equality Standard indicators

Establish conditions for Positive action

Eliminate Discrimination Advance Equality Of Opportunity

3.1 3.3 3.4 3.6 4.1 4.3

As NHS England guidance

Implemented in April 2016. On-going reporting August each year – see Appendix B.

REPORTING TEMPLATE

Name of CCG Organisation Reporting Period

Southport and Formby CCG Year 2017 Month April

Name and Title of Governing Body lead for the Workforce Race Eqiuality Standard (WRES)

Tracy Jeffes, Chief Delivery and Integration Officer

Name and contact details of CM CMSU employee’s compiling this report

Andy Woods Senior Governance Manager (Merseyside Shared Equality & Inclusion Service) and Gareth James ( HR Business Partner (Midlands and Lancashire Commissioning Support unit)

Name and contact details of co-ordinating CCG manager

Tracy Jeffes, Chief Delivery and Integration Officer

Name and contact details of CCG employee’s this report has been sent to

N/A

Unique URL link on which this report will be found (added after submisison)

N/A

This report has been signed off by the signatory below on behalf of the CCG Governing Body (Insert name and date)

Tracy Jeffes, Chief Delivery and Integration Officer

REPORT on the WRES Indicators

1.0 Background Narrative

a. Any Issues with the completeness of the data being presented

The workforce and Human Resources data presented within this report is from the standard NHS Human Resources system (the ‘Electronic Staff Record (ESR)’) and the personal filing and note taking procedures used by a variety of Human Resources staff. From the inception of the CCG in April 2013 both the ESR and the Human Resources service have been managed on behalf of the CCG by a Commissioning Support Unit (CSU) Human Resources Team (currently Midlands and Lancashire CSU) using a standard set of processes and procedures. All of the records within ESR are self-declared either through an application form via NHS Jobs or through an ESR paper application form which is manually inputted by HR staff.

b. Any matters relating to the reliability of comparisons with previous years.

Southport and Formby CCG directly employs a very small number of staff (11 employees last year). The majority of the CCG staff is employed by

South Sefton CCG though in reality the staff works jointly across both CCGs through a shared management team arrangement. Actual staff who support Southport and Formby CCG via the shared management team is 136, which is significantly higher than actual direct employees. Therefore for purposes of accuracy the CCG will work from the basis that 136 employees work to support Southport & Formby CCG activity and will not be able to compare WRES data from last year.

2.0 Total Numbers of Staff

a. Employed within this organisation at the date of the report

136

b. Proportion of BME staff employed within this organisation at the date of the report

2.94%

REPORT on the WRES Indicators, continued

3.0 Self Reporting

a. The proportion of total staff who have self-reported their ethnicity

99.26%

b. Have any steps been taken in the last reporting period to improve the level of self-reporting by ethnicity

N/A

c. Are any steps planned during the current reporting period to improve the level of self-reporting by ethnicity

No – reporting is satisfactory

4.0 Workforce Data

a. What period does the organisation’s data refer to

Staff in Post at 31.03.2017 Recruitment between 01.04.2016 and 31.03.2017

REPORT on the WRES Indicators, continued

5.0 Workforce Race Equality Undicators

Indicator Data for reporting year

Data for previous year

Narrative – the implications of the data and any additional background explanatory narrative

Action taken and planned including e.g. does the indicator link to EDS2 evidence and/or a corporate Equality Objective

For each of these four workforce indicators, the Standard compares the

metrics for white and BME staff.

1

Percentage of staff in each of the AfC Bands 1-9 and VSM (including executive Board members) compared with the percentage of staff in the overall workforce

See Table 1 below

N/A as re point 1.0 b above

N/A as no comparator is possible with last years WRES

The CCG has a Workforce Equality and Diversity Plan – which is part of the Equality Objective Plan 2015/18. Both were informed by EDS2 evidence. Progress against the workforce elements of the Plan is monitored by the Finace and Resource (F&R) Committee, who also receive details of the CCG ethnicity profile within the HR Management Framework to consider alongside the actions on the Plan.These include establishing monitoring systems to identify any discrimination and consider positive or correction action.

2

Relative likelihood of BME staff being appointed from shortlisting compared to that of White staff being appointed from shortlisting across all posts.

0 as re Table 1 below

N/A as re point 1.0 b above.

Not calculable as denominator is zero No appointees in 2016-17

As above

3

Relative likelihood of BME staff entering the formal disciplinary process, compared to that of White staff entering the formal disciplinary process, as measured by entry into a formal disciplinary investigation* *Note: this indicator will be based on data from a two year rolling average of the current year and the previous year.

Two year rolling average. No cases

reported – not calculable

N/A as re point 1.0 b above.

Not calculable as denominator is zero No fomral disciplinaries in thios period

As above

4 Relative likelihood of BME staff accessing non-mandatory training and CPD as compared to White staff

2016-17 Not Available Not calculable due to low numbers

N/A

Table 1: Southport & Formby CCG % Of Staff by Pay Band and Ethnicity as at 31.03.2017

Pay Band BME Unknown / Not Stated White Grand Total

Apprentice 0.00% 0.00% 100.00% 100.00%

Band 3 0.00% 0.00% 100.00% 100.00%

Band 4 0.00% 0.00% 100.00% 100.00%

Band 5 5.26% 0.00% 94.74% 100.00%

Band 6 0.00% 0.00% 100.00% 100.00%

Band 7 3.13% 0.00% 96.88% 100.00%

Band 8 - Range A 5.26% 5.26% 89.47% 100.00%

Band 8 - Range B 0.00% 0.00% 100.00% 100.00%

Band 8 - Range C 0.00% 0.00% 100.00% 100.00%

Band 8 - Range D 0.00% 0.00% 100.00% 100.00%

VSM 6.25% 0.00% 93.75% 100.00%

Grand Total 2.94% 0.74% 96.32% 100.00%

5.0 Workforce Race Equality Indicators

Indicator Data for reporting year

Data for previous year

Narrative – the implications of the data and any additional background explanatory narrative

Action taken and plannedincluding e.g. does the indicator link to EDS2 evidence and/or a corporate Equality Objective

For each of these four staff survey indicators, the Standard compares the metrics for each survey question response for White and BME staff.

N/A

5 Percentage of staff experiencing harassment, bullying or abuse from patients, relatives or the public in last 12 months

N/A N/A

Since last year’s WRES the CCG has now

CCG has now introduced national NHS Survey and will continue to utilise this.

6 Percentage of staff experiencing harassment, bullying or abuse from staff in last 12 months

utilised the national NHS survey on review of sections 16 and 17 (equality related questions on the survey), no concerns can be identified in relation to Race as sample size is too small and zero response from BAME staff.

The Survey is reviewed through a number of committees and the Governing Body on an annual basis.

7 Percentage believing that the CCG provides equal opportunities for career progression or promotion

8

In the last 12 months have you personally experienced discrimination at work from any of the following? b) Management/team leader or other colleagues

9

Board representation indicator For this indicator, compare the difference for white and BME staff. Percentage difference bewtween organisations Board Membership and its overall workforce disaggregated:

By voting membership of the Board

By executive membership of the Board Percentage Difference between the organisation's BME Board Voting Membership and its overall BME workforce

Percentage Difference between the organisation's BME Board Executive Membership and its overall BME workforce Percentage Difference between the organisation's White Board Voting Membership and its overall White workforce Percentage Difference between the organisation's White Board Executive Membership and its overall White workforce

4.75% -2.94% -4.01% 3.6%

N/A

WRES question has changed nationally for

question 9, so no comparator is possible

until next year.

The CCG has a Workforce Equality and Diversity Plan – which is part of the Equality Objective Plan 2015/18. Both were informed by EDS2 evidence. Progress against the workforce elements of the Plan is monitored by the Finace and Resource (F&R) Committee, who also receive details of the CCG ethnicity profile within the HR Management Framework to consider alongside the actions on the Plan.These include establishing monitoring systems to identify any discrimination and consider positive or correction action.

REPORT on the WRES Indicators

6. Are there any other factors or data which should be taken into ocnsideration in assessing progress. Please bear in mind

any such information, or action taken and planned may be subject to scrutiny by the the Co-ordinating CCG Manager or by

regulators when inspecting against the “well led domain”.

No

7. If the organisation has a more detailed Plan agreed by its Board for addressing these and related issues you are asked to

attach it or provide a link to it. Such a plan would normally elaborate on the steps summarised in section 5 above setting out the

next steps with milestones for expected progress against the metrics. It may also identify the links with other work streams

agreed at Board level such as EDS2.

Appendix B E&D workfocre plan 2017 SS S&F.docx