Equality impact assessements and the REF: frequently asked questions

Who should be responsible for conducting equality impact assessments (EIAs)?

While it may be useful to have an individual overseeing the EIA process, it is not recommended that responsibility for conducting an EIA rests solely with an individual. A range of skills is needed to conduct EIAs and so a team with the following qualities is best placed to fulfil this function:

• knowledge and understanding of the policy to be impact assessed
• knowledge and understanding of equality
• an ability to be objective about the policy
• an ability to analyse both qualitative and quantitative data

Some higher education institutions (HEIs) may use consultants or external agencies to conduct EIAs. However, the Equality and Human Rights Commission has advised that, while external support and expertise can be helpful in building capacity, EIAs should not routinely be conducted by external consultants. Where HEIs have joint consultative committees or other similarly representative bodies, an HEI many consider delegating the tasks to such a group, with involvement and advice of a person with the relevant knowledge and understanding of equality legislation and EIAs.

What does due regard mean?

Due regard comprises two linked elements, proportionality and relevance. ECU recommends that to demonstrate due regard as employers, institutions need to consider the relevance of the equality duty of the Equality Act 2010 when developing, evaluating and reviewing policies (including, for example, those relating to the REF).

To consider proportionality, HEIs should determine:

• the relevance of the policy to protected groups
• the relevance of the policy to the public sector equality duty
• any concern previously raised about a policy or practice
• any information indicating an adverse impact on a protected group

How detailed does an EIA need to be?

An EIA is not a simple five minute 'tick box' exercise, or an exercise of going through the motions to claim that a particular policy or practice is non discriminatory without proper consideration of the issues involved.

An effective EIA should involve a meaningful assessment of the impact a policy or practice may have from an equality perspective. If an EIA does not involve proper consideration of the relevant evidence and data available and if it does not involve genuine reflection on possible ways to mitigate negative impacts the policy or practice in question may have on equality, then it is unlikely to stand up under scrutiny.

The more robust the process of conducting an EIA, the greater the legal cover afforded to the institution if the EIA is subsequently challenged or if the HEI seeks to rely on the EIA in a legal case.

What if we don't have data on a protected characteristic?

The Assessment Framework and Guidance on Submissions states that EIAs should be informed by an analysis of data on staff who are eligible for selection in respect of all the protected characteristics for which data are available.

It is recognised that HEIs in England, Scotland and Wales may not have started to collect data on all of the protected characteristics covered by the Equality Duty of the Equality Act 20120. Institutions in Northern Ireland are likely to have more extensive data available due to the requirements of Section 75 of the Northern Ireland Act 1998.

EIAs can also be informed by qualitative data, for example, information gathered during engagement activities with staff or from ECU's research reports on the experiences of staff and students on the basis of their sexual orientation, ethnicity or their religion or belief. 

For example, ECU's report into the experiences of lesbian, gay, bisexual and trans staff and students (2009) highlights that LGBT research staff experienced research focusing on LGBT issues being dismissed or they were dissuaded from submitting their research. In addition, some staff reported being denied opportunities for promotion due to their sexual orientation. While an institution's procedures for selecting staff may not appear to treat LGBT staff unfavourably, the experiences highlighted by ECU's research underlines the need for institutions to ensure that those selecting staff for the REF are aware that a person's sexual orientation or gender identity should not affect whether they are submitted to the REF. In addition, where research focusing on LGBT issues is not submitted, this should be due to research quality only.

Is training required for staff involved in EIAs?

ECU recommends that staff responsible for conducting the EIA on the staff selection policy and procedures for the the REF receive training on the purpose of EIAs as well as the HEI's processes for conducting, reviewing and monitoring EIAs.

When should an EIA be conducted?

HEIs must not conduct an EIA retrospectively on their policy and procedures for selecting staff. EIAs should be conducted at the outset of policy and procedure development. As highlighted in the REF Assessment framework and guidance on submissions, mock exercises can be used to inform your institution's EIA and the EIA itself should inform your institution's code of practice. It should then be reviewed at key stages of the selection process.

When should EIA reports be published?

While publication of EIAs is not a legal requirement in all four countries of the UK, the funding bodies expect institutions to publish their EIAs after the submissions have been made as a matter of good practice. The published information should include the outcomes of any actions taken to prevent discrimination or advance equality.

Publication is consistent with the fact that most EIA reports could be disclosed under the Freedom of Information Act 2000. However, some EIA reports may contain information which can identify individuals and therefore some parts of the report may need to remain confidential to ensure compliance with the Data Protection Act 1998. For further information on freedom of information and data protection issues visit the Information Commissioner's Office.

Where is help available?

Your HEI's equality and diversity team will be able to guide you through the EIA process and will be able to let you know about any training or materials that your HEI has available. Your institution may also have an officer specifically responsible for quality processes or impact assessment.

HEIs can also contact ECU's advice service for further advice on conducting EIAs and other equality issues.