1

Novitas Solutions Plus

Report for

Lincolnshire County Council

Assessment of Progress on the

Equality Standard for Local Government

Level Two with

Recommendations for Progress

December 28th 2007

Introduction

The outline brief received was to audit Lincolnshire County Council’s progress on the Equality Standard for Local Government. In so doing, the audit was to identify current progress against Level Two of the Standard, that which the Council is seeking to assess itself as having achieved. The Council provided a very thorough self-assessment and evidence base to support this. Within the assessment, that recommendations are made to demonstrate what needs to be put in place and evidenced to secure assessment and to progress through the levels of the Equality Standard. Novitas Solutions Plus Ltd was engaged to undertake this assessment. The assessment has taken place using data and information sourced from the Council and reality-checks undertaken on-site. The report that follows details the findings of the audit with recommendations for those areas where the need for improvement was identified, or further evidence needs to be sourced. We would like especially to thank the Council for its cooperation in this process, and the way in which evidence was provided.

Contents

Section Page

1 Executive Summary 4

2 Recommendations (list) 5

3 Equality – The Context 7

4 Equality Standard – Level Two – Assessment 9

4

Executive Summary The lines of enquiry determined for the audit were to

Assess the Council’s progress on Level Two of the Equality Standard

Identify gaps in progress and develop recommended actions for the Council to attain its targets.

Findings of the audit Level Two of the Equality Standard

The Council can demonstrate that it has achieved Level Two of the Equality Standard. It ought to be noted that the Council has done this by developing sound systems at Level 1 and demonstrating clear commitment and priority to equality and diversity in the organisation to achieve its targets and improves services. The way in which equality and diversity has been developed, mainstreamed and embedded, with innovative practice in some areas, is testament to the Council’s planning and commitment.

Recommendations There are certain areas of activity which need greater focus if the foundations for moving toward Level 3 are to be secure. These are identified in the following assessment, and recommendations made to make clear how these improvements need to take effect. Further recommendations are made with regard to structures and processes which ought to make the process of self-assessment more streamlined in future.

5

Recommendations The assessment has identified areas for improvement to assist the attainment of Level Three of the Equality Standard for Local Government. Recommendations listed below follow the order in which they are identified within the review against the self-assessment process for the Equality Standard.

R1 Review the Equality Impact Assessments undertaken with regard to the appropriate level of progression having been achieved.

R2 Ensure that developments for workforce planning

and positive action include the development of monitoring systems and targets as appropriate.

R3 Ensure that current monitoring activities are

reviewed, as action plans require, to extend the categorisation of service users where appropriate to develop baseline information and enable target setting where appropriate.

R4 Work more corporately on EIAs progressing beyond

initial assessment to share consultation and monitoring activities across services. Within this, developing a clear programme of equality consultation.

R5 Ensure that new and revised policies, service

developments etc are impact assessed prior to ratification and any appropriate monitoring systems developed during this process.

R6 The review of service plans for equality and diversity

more rigorously includes an assessment of monitoring systems and requirements moving forward.

R7 Ensure that the Equality Impact Assessments on the Community Engagement Strategy and Consultation Strategy are progressed.

R8 Following the review of service plans, completed EIAs, and monitoring activities, develop a programme of consultation with community equality groups.

R9 Give consideration to formal agreements with community

groups re. capacity building and service level agreements.

R10 Consider involving community groups in the self-assessment process the Council uses for the Equality Standard, inclusive of receiving progress reports and draft action plans.

R11 Ensure that procurement strategies, guidance and

training include equality considerations that cover all six areas of equality legislation, and that the guidance is clear on where partnerships/contracts need to seek specific requirements of contractors i.e. monitoring data collection and returns.

R12 Review the progress of Equality Impact Assessments

to both ensure sufficient progress is being made, and that necessary actions are being undertaken.

R13 Consider a review of the composition and membership of

Corporate and Directorate Steering Groups

7

Legislative and Performance Context The Equality Standard for Local Government The Equality Standard was, until recently, measured as a national performance indicator (BVPI) across local government. It has been in existence for some years. The Standard is measured at five levels:

Level 1 – Commitment to a Comprehensive Equality Policy Level 2 – Assessment and community engagement Level 3 – Setting equality objectives and targets Level 4 – Information systems and monitoring against targets Level 5 – Achieving and reviewing outcomes

The Standard has been written in such a way, that its use is intended to reflect the level to which an authority has succeeded in ‘mainstreaming’, or bedding in, equality into its working practices. The Equality Standard has recently been under review as a result of the changing legislative context. With legislation having been enacted on gender, disability, religion and faith, age and sexual orientation; then, so too the Equality Standard has been revised to include all these categories. The revised Standard is that which is now used for assessing Councils’ progress, with there being a requirement for an external assessment at Level 3. Key to assessing against the Equality Standard is the realisation that it assesses the lowest denominator in a Council. All services are assessed, and unless all services can demonstrate progress to a certain level, then it is the least performing service which demonstrates the Council’s attainment.

Lincolnshire County Council – the Equalities Context Lincolnshire County Council has assessed itself as having achieved Level Two of the Equality Standard, with a target to achieve Level Three by March 2009. The Council achieved Level One of the Standard in 2006, on target, and has met its revised target for Level Two. These targets will drive the delivery of not only the Equality Standard, but also the statutory requirements which the Council must observe. The Council is required to have three statutory schemes in place for race, gender and disability in addition to policy on age, religion and belief, and sexual orientation. These legislative requirements are reflected in the revised Equality Standard and so there is a great deal of ‘cross-over’ between both processes. Thus, there is at minimum a need to ensure that policies and schemes reflect one another. To this end, the Council has developed a comprehensive Corporate Equality and Diversity Policy, and a single Corporate Equality and Diversity Scheme. Both of these documents are effectively cascaded into the service planning and performance management arrangements of the authority.

EQUALITY STANDARD

FOR LOCAL

GOVERNMENT

LEVEL TWO

Lincolnshire County Council Equality Standard for Local Government Level Two

An audit was undertaken of Lincolnshire County Council’s progress toward attaining Level Two of the Equality Standard for Local Government. The Council has assessed itself as having attained Level Two of the Standard as of September 2007. The Council can clearly demonstrate that it has attained Level

Two of the Equality Standard, with some areas of activity requiring improvement prior to moving forward to Level Three.

The Lines of Enquiry – Equality Standard Level Two The Equality Standard is structured around four themes at each level, they being:

Leadership and Corporate Commitment Community Engagement and Accountability Service Delivery and Customer Care Employment and Training

Level Two may be viewed as a foundation level to the Equality Standard, “assessment and community engagement”. To achieve Level 2 of the Standard an authority will need to demonstrate that it has:

• developed systems for self-assessment, scrutiny and audit as the basis for continuous improvement

• engaged in equality impact assessment • undertaken self-assessment across the authority • involved designated community, staff and stakeholder groups in

service planning • engaged in the development of information and monitoring

systems • engaged in an equality action planning process for employment,

pay and service delivery

Therefore, the evidence sought is that to demonstrate that the Council has in place processes for assessing the impact of its services on different groups, and engaging those stakeholders in service development. Evidence is sought at Corporate and Departmental levels, with the intention that this demonstrates communication and cascading to the policy direction. The following pages give a summary of the Council’s position against the themes, and lines of enquiry therein, for Level Two of the Equality Standard. This summary is intended as a position statement, but makes reference to areas requiring revision and what actions can be undertaken to progress.

Leadership and Corporate Commitment The Council can clearly demonstrate progress on this theme with systems in place and well embedded. There is some need to review the development of information and monitoring systems. No evidence In Progress Complete

Lines of Enquiry 2.1.1 - Has the authority published a draft Corporate Equality Scheme to deliver the authority’s Comprehensive Equality Policy and statutory equality schemes? The Council adopted a Corporate Equality Scheme in December 2006, with the Corporate Equality Policy; this comprises the Equality and Diversity Strategy for the Council. The Corporate Equality Scheme includes the statutory schema for race, gender and disability and takes very positive steps on age, religion and belief, and sexual orientation – giving these parity in the scheme development process. There is a comprehensive audit of functions and policies which informs the development of the Scheme, and each service has action plans which together comprise the activity element of the Scheme. No evidence In Progress Complete

2.1.2 Has a risk assessment of local authority services, activities and procedures been produced and developed into a prioritised programme of equality impact assessment? As is noted, a very thorough audit of functions and policies has been undertaken, which has enabled the Council to clearly identify a programme of equality impact assessments in years 1 and 2 of its Corporate Equality Scheme. The process for prioritisation was consistent and linked to service planning also. No evidence In Progress Complete

2.1.3 Has the authority published an action plan for the extension of equality impact assessment to age, sexual orientation and religion or belief? The Council has undertaken Equality Impact Assessments which cover all six ‘strands’ of the equality legislation from the outset, and training has been provided to many staff to this end. It is apparent, that the Council has chosen from the outset to develop policy, plans and systems which address all relevant equality legislation, thus negating the need to plan any extension. No evidence In Progress Complete 2.1.4 Is there demonstration of a corporate commitment in the equality impact assessment process? There is a clear policy commitment made in the Corporate Equality Policy and Scheme to undertake EIAs in services. All evidence demonstrates that every service of the Council engaged in the process, and the interlocution with service planning further proves the corporate commitment. The use of the Council’s performance management system to measure progress on EIAs is also a notable feature, as is the publication of completed assessments to LCCConnects (the Council website). No evidence In Progress Complete 2.1.5 Is there a corporate mechanism for assessing the development of service level objectives and targets? The Corporate Equality and Diversity Policy clearly indicates the intent to develop systems for monitoring of services. The process of undertaking Equality Impact Assessment is beginning to embed, with many staff having been trained and the majority of planned EIAs having been undertaken. It was noted however, that recent new and revised policies being submitted to the Council’s legislative processes do not include an EIA. Further, the proportion of EIAs progressing beyond initial assessment is small and may cause concern as this is the anticipated vehicle for identifying objectives and targets.

In Human Resources, evidence of a project plan (on track) to develop employment monitoring and enable the identification of service-specific objectives demonstrates a clear commitment in this field. However, it is cause for concern in moving toward Level 3 of the Equality Standard that these systems are not yet developing monitoring systems, let alone targets, at present. No evidence In Progress Complete Recommendations

R1 Review the Equality Impact Assessments undertaken with regard to the appropriate level of progression having been achieved.

R2 Ensure that developments for workforce planning

and positive action include the development of monitoring systems and targets as appropriate.

R3 Ensure that current monitoring activities are

reviewed, as action plans require, to extend the categorisation of service users where appropriate to develop baseline information and enable target setting where appropriate.

R4 Work more corporately on EIAs progressing beyond

initial assessment to share consultation and monitoring activities across services. Within this, developing a clear programme of equality consultation.

R5 Ensure that new and revised policies, service

developments etc are impact assessed prior to ratification and any appropriate monitoring systems developed during this process.

2.1.6 Is there a corporate structure for overseeing the development of information and monitoring systems? With regard to monitoring current planned activities, the use of the Performance Management System to track progress demonstrates a clear system and intent within the organisation. That the output is received by the Corporate Diversity Steering Group and legislative groups is further positive demonstration of commitment. Evidence of the scrutiny and review of EIAs at the Corporate Diversity Steering Group also demonstrates oversight. No evidence In Progress Complete Recommendation

R6 The review of service plans for equality and diversity more rigorously includes an assessment of monitoring systems and requirements moving forward.

Community Engagement and Accountability The Council’s progress on this theme for Level 2 is developing, with evidence of intent and activity being found. Some systems need to embed and/or be further developed to enable corporate progress on key lines of enquiry. No evidence In Progress Complete

Lines of Enquiry 2.2.1 Has the authority ensured that the draft Corporate Equality Scheme has been circulated to designated community, staff and stakeholder groups with a consultation timetable and is published in an appropriate range of languages and formats? The Corporate Equality Scheme was developed following consultation with community groups, elected members, staff representatives and a representative sample of the public. This consultation exercise enabled a prioritisation of the activities planned within the Scheme. The final Scheme has been printed, circulated and made available and is also available in alternative formats and languages. No evidence In Progress Complete 2.2.2 Has the authority reviewed the equality content of all Community Strategies (inc. LAA)? The Sustainable Communities Strategy for Lincolnshire has been subject to an EIA, and clearly has within it an explicit consideration of equality and diversity. The Local Area Agreement for Lincolnshire reflects these considerations and, in addition to ‘cross-cutting’ themes, has explicit actions pertinent to community cohesion, equality and diversity. No evidence In Progress Complete

2.2.3 Does the authority involve designated community, staff and stakeholder groups and the wider community on corporate policy? The Council has been developing and improving its consultation activities, and can demonstrate increasing engagement with community groups and stakeholders – on all policy, not solely equality and diversity specific policy. The Community Engagement Strategy (and Consultation Strategy therein) clearly signal the intent of the Council, and the consultation toolkit is being developed to convert this into practice. Existing evidence demonstrates that engagement with ‘umbrella’ equality specific groups is at present ad-hoc and no formal arrangements are in place with these groups. Some evidence was found of this generating capacity difficulties with community groups, and is an area the Council needs to investigate moving forward. Furthermore, there appears to be variances in the practice of consultation within the Council, with different services using different monitoring categories and not consistently involving community groups. Recommendations

R7 Ensure that the Equality Impact Assessments on the Community Engagement Strategy and Consultation Strategy are progressed.

R8 Following the review of service plans, completed EIAs, and

monitoring activities, develop a programme of consultation with community equality groups.

R9 Give consideration to formal agreements with community

groups re. capacity building and service level agreements. No evidence In Progress Complete

2.2.4 Does the authority involve members, employee representatives, department and service managers on impact assessments and all aspects of the Corporate Equality Scheme? The development of the Corporate Equality Scheme clearly involved all internal stakeholders. The process for Equality Impact Assessments includes the involvement of managers and staff and, by virtue of publication, enables wider comment also. Evidence was found of Equality Impact Assessments progressing to partial assessment and involving staff representatives in so doing. Further, there is a clear planned intent to develop staff groups to improve representation (equality specific) and to enjoin these groups in the Corporate Diversity Steering Group. No evidence In Progress Complete 2.2.5 Does each department and service area involve designated community, staff and stakeholder groups on its equality impact assessments and its service delivery? Directorates and services are all able to demonstrate involvement on equality impact assessments, and the majority of service delivery. This is not a uniform picture across the Council, however, the variations are on extent and not intent. With regard to service delivery, there is less well developed evidence of engagement with the community, and staff, in some services. No evidence In Progress Complete Recommendation

As R8

2.2.6 Does each department and service area engage community stakeholders through scrutiny of service delivery? The Council notably publishes all its plans and EIAs on its website. There is increasing evidence of engagement with community groups, building relationships in the process. It is noted that some of these relationships are ‘young’, and that some of the community groups are also recently developed; thus evidence of long-standing partnerships cannot be produced at this stage. The Council regularly reports on performance to its decision-making bodies, this information being in the public domain. The developing consultation activities also demonstrate an intent to involve communities in service scrutiny i.e. the fundamental review of libraries No evidence In Progress Complete Recommendation

R10 Consider involving community groups in the self-assessment process the Council uses for the Equality Standard, inclusive of receiving progress reports and draft action plans.

2.2.7 Does the authority seek to ensure that the corporate equality policy and objectives are incorporated in partnership and contractual arrangements engaged in by the authority? It is notable that all services have this action to undertake, and that the majority can evidence working with partnerships to disseminate the Corporate Equality and Diversity Policy – evidence was found of its adoption by several countywide partnerships, including the Lincolnshire Assembly. Further, the Council’s strategic partner clearly demonstrates a close relationship on equality and diversity, revising its policies and practices to conform with those of the Council. Evidence was found of some review of procurement procedures, however it could not be clearly discerned that services have been made aware of their commitments in this respect and that a process is in place for new/revised contracts. Some services could evidence revisions to contracts, and liaison with contractors, but this was not clearly following a corporate direction. No evidence In Progress Complete

Recommendation:

R11 Ensure that procurement strategies, guidance and training include equality considerations that cover all six areas of equality legislation, and that the guidance is clear on where partnerships/contracts need to seek specific requirements of contractors i.e. monitoring data collection and returns.

Service Delivery and Customer Care Progress on this theme is well developed, with systems clearly operable and embedded. Some consideration is needed in developing these processes in future for the Council to proceed to Level 3, and to lessen the bureaucracy involved in evidencing progress. No evidence In Progress Complete

Lines of Enquiry 2.3.1 Are there completed prioritised department and service area impact assessments as the basis for the development of equality objectives and targets? As earlier cited, there is a comprehensive plan of prioritised equality impact assessments. Evidence was found of the vast majority having commenced, and most of these having been completed with some still in progress due to the need for partial assessment. However, few of the EIAs have progressed to partial assessment, and as such there is less evidence than might be anticipated of the development of objectives and targets. Where EIAs have indicated the need to make revisions to service delivery, it was not found that these activities have been carried forward into service plans and, as such, it was not always apparent whether these are being progressed. No evidence In Progress Complete Recommendation

R12 Review the progress of Equality Impact Assessments to both ensure sufficient progress is being made, and that necessary actions are being undertaken.

2.3.2 Have departments and service areas begun to develop equality objectives and targets? Evidence was available of the commitments made at a corporate level that services would develop equality objectives and targets. However, evidence of that commitment translating into effect was not provided for this line of enquiry. However, there are clear plans to develop objectives and targets with regard to workforce planning and personnel-related functions. Evidence was also found of other services considering the review of services, and the need to develop objectives. Whilst it is evident that this process has begun, it is not uniform across all services, and attention is needed to ensure that sufficient planning is involved in order to meet the Council’s target to attain Level 3 of the Equality Standard. No evidence In Progress Complete Recommendation

As R6 2.3.3 Has the review of services included the procurement function and all contracted services and partnership arrangements? The Council’s procurement strategy includes provision for equality considerations in contracting/partnership arrangements, and it is understood that further developments will complement this. The plans to review the procurement function and policies are comprehensive, however evidence of their full completion and dissemination throughout the Council was not entire. Some services can evidence engagement with contractors on the review of policies, practice and commitments, albeit this does not follow a corporate procedure. No evidence In Progress Complete Recommendation:

As R11

2.3.4 Has each department and service area established planning groups for monitoring and information systems? Each Directorate has in place a Diversity Steering Group with representatives from each service upon these. These groups are effectively administered to cascade corporate initiatives and coordinate activities within departments. Clear agendae and minutes evidence that processes are working effectively. There is some divergence in the models used, with some Assistant Directorates having groups where this is more appropriate. Further, the level of representation on the groups varies between Directorates, although arrangements are at the services’ discretion, there would appear to be some synergy between the level of representation, reporting to DMTs, and the progress being made. No evidence In Progress Complete Recommendation

R13 Consider a review of the composition and membership of Corporate and Directorate Steering Groups

2.3.5 Has each department and service area engaged with equality self-assessment and scrutiny on its service delivery? Every service with an action plan undertook self-assessment using a standardised template, and the level of supporting information for these was impressive. Further, these self-assessments were scrutinised at both a Directorate and Corporate level. There can be no diminution of the level of effort and commitment in this process. There is a very real opportunity for the Council to rationalise this process, and improve evidence collation in-year to mainstream the process and reduce the intensity at year-end. No evidence In Progress Complete Recommendation:

As R10

Employment and Training Progress in this theme is very well developed. Evidence was available to demonstrate commitment and positive developments in services, with the Council clearly having aligned resources and priority to key functions and activities. No evidence In Progress Complete

Lines of Enquiry 2.4.1 Has the authority developed and adopted a fair employment and equal pay policy? The Council has such a policy in place and is currently nearing completion on its review on equal pay. No evidence In Progress Complete 2.4.2 Has the authority engaged in an employment equality assessment of the local labour market?

The Council has developed a very comprehensive Local Labour Market Assessment, which it is understood is promoted nationally as best practice and is being followed by other authorities. Evidence was found of sharing this assessment with key partners, and of using it in the development of workforce planning processes.

No evidence In Progress Complete

2.4.3 Has the authority engaged in an equal pay review? The Council is currently nearing completion on its review on equal pay. No evidence In Progress Complete

2.4.4 Has the authority adopted a Local Government Workforce Strategy? In addition to the Council’s policy on pay, and concurrent pay review, there are in place a People Strategy and Training Strategy. No evidence In Progress Complete 2.4.5 Has the authority adopted procedures to ensure that publicity for vacancies does not unfairly restrict the range of applicants? The procedures for publicising vacancies have been reviewed, and procedures modified in line with recommendations. There is an ongoing project to further improve these processes. No evidence In Progress Complete 2.4.6 Has the authority developed a standard range of application forms and job descriptions that are clear and explicit? Evidence was provided of a review that was undertaken, and policies to ensure corporate consistency. Again, it is apparent that this work has been well planned, and the project plan demonstrates further enhancements are intended. No evidence In Progress Complete 2.4.7 Has the authority reviewed its personnel information system for monitoring suitability, including supporting the authority’s statutory monitoring duties? A thorough review has been undertaken of both the system and data held. This has resulted in a project, with dedicated resources, reviewing the data, data collection process, collation system, and reporting functionality. It was apparent from evidence received that the system is now capable of reporting information to all managers,

and has included all relevant functions. Further, that a Council-wide data collection activity is planned, with commitment from CMT, to ensure that maximum data, and increased accuracy. No evidence In Progress Complete

2.4.8 Has the Council developed a programme of equality training to support the Corporate Equality Scheme and departmental service objectives? The Council has clear programmes in its Training Strategy to support the delivery of the Corporate Equality Scheme. This has already resulted in all policy-development staff and management receiving training on conducting Equality Impact Assessments. Further to this are training packages for all levels of staff, and diversity in the Council’s induction programme. The programme may require some review in order to support the Council’s progress to Level 3 of the Equality Standard, and evidence was found of this being investigated. No evidence In Progress Complete 2.4.9 Has the authority ensured that the training programme is consistent with the training arrangements in the council’s statutory equality schemes? The training programme supports the commitments in the Corporate Equality Scheme, and it structured to support the competences have been developed for staff at different levels. No evidence In Progress Complete

2.4.10 Has the authority made all employment procedures consistent with current legislation and employment Codes of Practice?

All employment policies and procedures have been identified in the audit of functions and policies and thus, where relevant, have been programmed for equality impact assessment. These EIAs have been completed. Evidence was also found of ongoing reviews of employment policy in light of relevant legislation. No evidence In Progress Complete