Management and Control of an Outbreak of Infection
Version: V6
Ratified by: Quality & Safety Committee
Date ratified: 19/04/2023
Job Title of author: Specialist Infection Prevention Nurse
Reviewed by Committee or Expert Group Infection Prevention Group
Equality Impact Assessed by: Specialist Infection Prevention Nurse
Related procedural documents
IPPOL03 Hand Hygiene Policy and Procedure
IPPOL02 Prevention and Management of Clostridium difficile Associated Disease (CDAD) in Community hospital wards:
EGUI01 Hospital cleaning guidelines, Community hospital wards
IPPOL09 Decontamination of Medical equipment policy and procedure
IPPOL21 Policy on Standard Precautions for Infection Prevention including TBP’s and Isolation precautions.
Review date: 19/04/2026
It is the responsibility of users to ensure that you are using the most up to date document template – i.e. obtained via the intranet
In developing/reviewing this policy Provide Community has had regard to the principles of the NHS Constitution
Version Control Sheet
Version Date
v2 December2014 Headof Infection Prevention Responseto reviewof outbreakpolicy: clearprocedure replacesoriginal IPPLO16policy
v3 November2016 Headof Infection Prevention
v4 January2019 Headof Infection Prevention Ratified
V5 July2020 Infection Preventionteam Inclusion of management of COVID 19 and appendices
V6 October2022 Infection Prevention Team Response to review policy and update management of COVID19inline UKHSA withdrawal of guidance and removal of COVID specific appendices
1. Purpose
The purpose of this policy is to provide a definition to the term outbreak of infection and incidents of infection and what action should be followed in order for the organisation to respond and manage any situation where there is a risk of infection to service users and staff.
There are many infectious illnesses requiring the patient to be nursed in a side room. A detailed list can be found in IPPOL21: SICP (Standard Infection Prevention & Control) including TBP (Transmission Based Precautions) policy.
2. Policy Statement
Provide recognises the importance of all staff understanding their responsibility to follow evidence-based practice in respect of prevention, prompt notification, and management of an outbreak or incidents of infection in all inpatient and outpatient settings
3. Roles and Responsibilities
Chief Executive
The Chief Executive has overall responsibility for ensuring staff working for Provide have the necessary management systems in place to enable the effective implementation of this policy and overall responsibility for the health and safety of staff, patients and visitors.
Director of Infection Prevention and Control (DIPC), Group Chief nurse & Chief Operating Officer, Group Chief Executive.
The DIPC will have operational responsibility for the effective implementation of this policy. The Executive Clinical & Operations Director is responsible for mobilising an incident management team which includes members of the outbreak control group as defined in this policy.
Assistant Directors of Services (ADs)
All ADs have responsibility for ensuring systems are in place to ensure all staff are aware of this policy and give appropriate support to facilitate staff in the delivery of the practice outlined in this policy.
To assess potential risks to Provide of closing wards /bays during an outbreak.
To advise on operational issues relating to pressures at the time and supporting decisions taken.
Community Hospital and Community Team Ward Matron/Ward Managers
Must ensure that:
• Staff are aware of, have access to and comply with this policy
• Staff are adequately trained in all aspects of this policy
Ward Manager /Nurse in Charge
To lead on the risk assessment regarding closure of beds/bays/wards and reporting bed status to the local Acute Hospitals in liaison with the Infection Prevention Team
To liaise with Infection prevention team (in hours) and Manager On Call (out of hours) to undertake a risk assessment of bed occupancy.
To ensure during an outbreak that adequate supplies and stock are maintained/increased to deal demand.
Manager on Call (Out of Hours)
Liaising with the Ward Manager/Nurse in Charge, the Manager On Call will lead the organisations response in the event of an outbreak occurring out of hours. The On-Call Manager will also make the decision to contact the Director On Call if necessary.
Infection Prevention Team
The infection prevention team are responsible for advising staff on the infection prevention and control measures required during an outbreak. The infection prevention team are responsible for:
• Collating data re timelines/epidemiology of outbreak
• Giving additional advice regarding the management of patients requiring isolation where appropriate
• Reporting to and liaising with Consultant Microbiologist, DIPC, Assistant directors, UKHSA (UK Health & Security Agency previously PHE), Integrated Care Board (ICB) where appropriate
• Escalate to Head of Quality and Safety and Director of Nursing
• Establish Outbreak meetings and invite attendees
Facilities & Estates Manager on Hospital Sites
To organise and manage any additional cleaning and equipment / supplies requirements as requested by the Infection Prevention team
All Staff
To comply with this policy in order to reduce the risk of unnecessary spread of the outbreak thus impacting continuity of care
To liaise with the Infection Prevention Team in a timely manner for advice and support
All staff have a responsibility to ensure that infection prevention is embedded into their everyday practice and applied consistently at all times
4. Definitions of an Outbreak Cluster or Incident Outbreak
An ‘outbreak’ is an incident where two or more persons have the same disease or similar symptoms and are linked in time, place and/or person association.
An outbreak may also be defined as a situation when the observed number of cases unaccountably exceeds the expected number at any given time and this is often referred to as a ‘cluster’.
In some instances, only one case of certain rare infectious disease may prompt the need for reporting and incident management to address public health measures. e.g. bacterial meningitis, diphtheria, Monkeypox (mPox), etc.
Incidents
An ‘incident’ has a broader meaning, and refers to events or situations which warrant investigation to determine if corrective action or specific management is needed. This may be where rates of infection are increasing in communities causing many cases to be reported but do not have a direct link to determine transmission e.g invasive group A streptococci (iGas)
5. Definition of Outbreak Control Group
The outbreak control group may include members representative of community and agency bodies whose purpose is to decide on actions required for safe management of outbreak. See section 10
6. Recognition of an Outbreak
Initial reports of a potential outbreak may arise from a number of sources. These include:
• Laboratory results
• The ‘Alert’ surveillance system
• Medical or nursing staff
• Allied professional staff
• General Practitioners
• Residential or nursing homes
• Neighbouring hospitals
• Integrated Care Bureau
• Local authorities
• National surveillance schemes
• Environmental Health departments
• National government public announcements
Any of the following suggestive of an outbreak or incident must be reported
• Diarrhoea of unknown origin in two or more patients or staff
• Vomiting of unknown origin in two or more patients or staff
• Influenza or other acute respiratory illness in two or more patients/staff
• A number of cases of illness above the expected rate for that time and place
The ward manager/ nurse in charge must report to IPT or On-Call Manager out of hours 0300 003 0683. Usually, the IPT will determine the need to establish an outbreak meeting at which stage a more formal outbreak control group may be convened if deemed
appropriate. Where there is any incident or potential that poses a risk to public health e.g., in community-based services, the concern must be discussed with the Consultant Microbiologist, Director of Infection Prevention and Control, and the Integrated Care Board (ICB) as soon as possible to determine the need for an Outbreak Control Group to be set up.
7. Initial Response
Information gathering for the nurse in charge of the ward and community Integrated community team (ICT).
Collect patient details: hospital / NHS number, patients’ surname, first name, date of birth and GP, onset of symptoms, names of staff of those potentially exposed if potential problem involves infections such as chickenpox, shingles and scabies.
All ward staff need to record location of bed number and bay. For community associated incidents a record of the patient’s postcode, address and GP together with NHS number (if known) See appendix 3
In order to contain the outbreak, it may be necessary to close the ward to admissions. This decision will be undertaken following discussion with IPT, the Director of Infection Prevention and Control and Director of Nursing, or Manager On Call out of hours
Immediate actions to be taken by ward staff
• Isolate symptomatic patients in a side room if available. Where a side room is not available patients should be placed together in a bay as a cohort. Staff must inform and seek advice from the IPT or On-Call Manager. Please refer to isolation precautions in policy IPPOL21.
• In the event of a potential outbreak at the time of risk assessment the ward or area should restrict patient movement for admissions and transfers to other healthcare/residential settings. Closure of ward will be agreed in line with outbreak investigation.
• Nurse in charge to inform the infection prevention team or manager on call
• Ensure sufficient Personal Protective Equipment (PPE) is available dependent on the suspected infection:
• Ward staff to collect appropriate specimens from affected patients, seek advice from local laboratory and inform of potential outbreak.
• Ward or ICT complete the relevant outbreak forms (appendix 2-4) and to be emailed to mailto:provide.infectionpreventionteam@nhs.net
• Ensure that members of staff with symptoms inform Occupational Health department and the ward manager, and staff details are recorded on outbreak form.
• Ensure that all infectious waste and linen are managed in line with policy for Clinical Waste IPPOL12 and SICP IPPOL21
• Restrict eating and drinking by any staff in ward/clinical areas. Eating and drinking by all staff clinical and non-clinical should only take place in designated areas.
• In inpatient units, remove superfluous items from patient’s bedside inc. fruit as items may be contaminated by aerosol spread of some viruses.
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Out of Hours
Ward manager or nurse charge must notify the Manager On-Call as soon as possible. They can be contacted using a single phone number: On-Call Incident Line: 0300 003 0683.
If no response is received within 15 minutes, then the Director On Call should be contacted
The Director on Call should be contacted on the same number
On Call Incident Line: 0300 003 0683
Please note that once the incident has been resolved it MUST be reported onto Datix
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8. Outbreak Control Group
Composition of an Outbreak Control Group
The membership of the outbreak control group will be drawn from the following:
• Infection Prevention Team
• Infection Control Doctor/Consultant Medical Microbiologist
• Director of Infection Prevention and Control
• Assistant Director(s)
• Ward Manager
• Allied Health Representative
• Estates Cleaning Manager
• Ward GP
• Media Comms (kept informed by DIPC/AD)
• UKHSA
• Local Integrated Care Board (ICB)
• Administrator (for minutes etc.)
• Other members as deemed appropriate by the Chair
Functions of an Outbreak Group
The Director of Infection Prevention and Assistant Director will act as the chairperson for the group with the remit to:
• Ensure that all necessary steps are taken for the continuing clinical care of the patients, staff and other workers during an outbreak and to ensure business continuity
• co-ordinate the investigation of the source and determine the cause of the outbreak
• Co-ordinate the control measures to be employed
• Establish appropriate communication channels, ensure all communications to staff within the organisation are itemised and numbered for auditing.
• Co-ordinate a needs assessment regarding supplies and manpower resources
• Determine whether additional help and expertise from other agencies is required
• Provide clear instructions and/or information for ward community and all other staff where exposure or concern is evident
• Co-ordinate regular meetings of the action group to review the progress on the investigation and control of the outbreak.
• Declare when end of outbreak has occurred.
• Ensure feedback and learning from the outbreak is shared across the organisation.
9. Incident Management Team
Where an outbreak affects multiple services/organisations or hospital ward/locations the local Integrated Care Board (ICB) will determine whether an incident management team will be required. The membership of the incident management team may include that of the Outbreak control group but will require additional representation from other services/organisations as agreed.
Functions of the Incident Management Team
• Co-ordinate regular meetings to review progress on the investigation of the outbreak. This may include a daily sitrep or conference call.
• Co-ordinate actions as agreed with local authorities for outbreaks that occur at more than one location or across the region
• Decide if a help line needs to be initiated.
• Assist, advise and coordinate where closure of wards/departments impacts services across the region and affects service users
• Devise and co coordinate appropriate communication and media statements.
• Prepare preliminary, interim and final reports on the outbreak
10.Outbreak Measures
For suspected viral gastroenteritis (e.g., Norovirus) or Influenza / Respiratory Illness please read this policy in conjunction with IPPOL21 SICP including TBP’s
It may be considered appropriate to restrict visiting during an outbreak this will be determined as part of the local outbreak management group If the visit is considered essential for compassionate (end of life) or other care reasons (for example parent/child) this will be agreed with local outbreak group.
• Ensure signage at all entrances to the ward or areas where outbreak measures in place, informing all visitors that there is an outbreak.
• Complete all outbreak monitoring forms as per appendix 2,3,4. The nurse in charge or designated team lead is responsible for checking daily and at each shift change that all records of conditions and symptoms of all staff/patients affected are accurate and up to date.
• Symptomatic patients if not already must be isolated in a single room with their own toilet facilities or a designated commode. If isolation in a single room is not possible patients to be placed in bay and nursed as cohort
• Assistant Director will ensure there is adequate staffing to cope with the extra demands of managing an outbreak
• Staff working in the ward must not work in other healthcare settings until outbreak is declared over or unless agreed by the outbreak group.
• For the duration of the outbreak, environmental cleaning must be performed using detergent and hot water followed by a chlorine-releasing solution (i.e. Tristel). Please refer to SICP and TBP’s (IPPOL21) on My compliance.
• All clinical areas must have access to liquid dispensed soap, paper towels for handwashing.
• All inpatients must have access to hand wash facilities and provided with hand wipes at the bedside
• All specimens and samples must clearly state it is part of a suspected outbreak, as this will determine which specific tests are carried out in the laboratory. Faecal samples obtained from patients should be a liquid specimen, classified by Bristol Stool Chart type 5 - 7. The microbiology form must state: Part of an outbreak, please test for M C & S, E M and viral culture and Clostridioides difficile toxin
The IPT will:
• Record and maintain a timeline of all cases, locations, and events (including staff as required) location of index case where known, patient movement within the hospital including bed numbers and bay or postcode, transfers to care homes/other residential care settings if within community setting.
• Report and record as appropriate all specimens sent/results received, any microbiological information e.g. organism species and group or type
• Notify and inform UKHSA and ICB
• Ensure record of contacts if appropriate to the outbreak investigation.
• Ensure record of food history in cases of suspected food poisoning.
• Inform and escalate to outbreak control group any resistance in specimens and antibiotic sensitivity patterns
Influenza/respiratory illness (including COVID-19)
On identification of a potential outbreak all information gathered must be recorded using appendix 2 (inpatient) and appendix 4 for staff
Where an outbreak indicates an influenza/respiratory illness, both the inpatient and ICT areas may be subject to the following:
• It may be necessary to order / purchase additional respiratory personal protective equipment.
• If specialist respiratory equipment is required, then access to fit-testing and training will also be necessary and this will be advised through the IPT and incident management team/outbreak group.
• There may be a need for staff and patients to have prophylaxis this may include the need to vaccinate.
Cohort of staff and patients to minimise risk of transmission:
• This is where one set of Staff are allocated to infected cases and another group of staff allocated to non-infected during a shift or worked time period.
• In the community, staff may be allocated to a set caseload of patients this could be by the post code or to a named care home, where a high incidence of infection is occurring.
In the event of any outbreak NHS organisations should continue to follow existing UKHSA guidance on defining and managing communicable disease outbreaks https://www.gov.uk/government/publications/communicable-disease-outbreakmanagement-operational-guidance
11.End of Outbreak
When the Outbreak Control Group has agreed that the outbreak has ended then a communication should be sent out declaring outbreak is closed. The following events must occur before ward/area or facility is re-opened or as part of community action following a community outbreak:
• Ward/clinic/area to be terminally cleaned, including all care equipment
• Curtains inc. privacy screens to be changed
• Storage areas used by community teams to have terminal clean.
At the end of the outbreak a short report will be prepared and circulated to the members of the outbreak team and other relevant parties Any lessons learnt will be fed back to the outbreak control team and those staff involved as appropriate
12.Audit and Monitoring
The effectiveness of this policy will be monitored through the Quality and Safety Committee and the documentation annual audit.
13.Implementation and Communication
This policy will be issued via My Compliance. It will be disseminated to all hospital staff working for Provide.
14.Training
Training will be undertaken in accordance with the organisation mandatory training programme.
15.References
Ayliffe G, Fraise A, Geddes A, Mitchell K, (2000). Control of Hospital Infection: A Practical Handbook Fourth Edition. London.
Department of health (2014 updated 2018) Norovirus, guidance data and analysis
Available at: https://www.gov.uk/government/collections/norovirus-guidance-data-andanalysis
Health Protection Scotland (2009): Norovirus Outbreak: Control measures and practical considerations for optimal patient safety and service continuation in Hospitals. (HPS)
Health Protection Agency (HPA) (2012). The Communicable Disease Outbreak Plan. HPA, London.
Community Communicable disease outbreak incident management policy. 074-Communicable-Disease-Outbreak-and-Incident-Management-Policy-V1.0.docx (live.com)
Public Health England (2012) Norovirus: managing outbreaks in acute and community health and social care settings Available at Communicable disease outbreak management: operational guidance - GOV.UK (www.gov.uk)
Public Health England (2014) Communicable Disease outbreak management. Operational guidance. Available at: https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment _data/file/343723/12_8_2014_CD_Outbreak_Guidance_REandCT_2__2_.pdf
National Infection Prevention and Control manual for England June 2022. Available at: https://www.england.nhs.uk/wp-content/uploads/2022/04/C1636-national-ipc-manual-forengland-v2.pdf
UKHSA (2023) Managing outbreaks and Incidence Guidance updated Feb 13 2023
Managing outbreaks and incidents - GOV.UK (www.gov.uk)
Appendix 1: Outbreak Management (including COVID-19)
Definition of an outbreak: - 2 or more symptomatic or test confirmed individuals that includes patients, healthcare workers, regular visitors that have shared the same time and place/ location i.e. ward/bay/bed space/department/team
Nurse In -Charge of Shift
1. Ensure patients affected are isolated/cohorted and their bed spaces have had terminal cleaned after moving to isolation room.
2. Inform Ward Matron and Infection Prevention Team (in-hours)
3. Inform On-call manager out of hours
4. review ward staffing and cover any gaps in rota
5. Ward to complete HCAI form for confirmed positive cases and send to Infection prevention team
PROVIDE.infectionpreventionteam@nhs.net
6. Ward to complete Datix Incident form
Assistant Director or On-call Manager
1. Check Patients and staff practice is being managed in line with infection prevention guidance and service COVID-19 plans to reduce risk of transmission between patients or staff
2.Check Infection Prevention Team and AD/ Out of hours contact on call manager have been informed
3 Review all admissions and transfer/discharges and restrict in first instance to other health care organisations and discuss with IPT
4. Ensure staffing gaps are covered /service issues are addressed.
5 Ensure outbreak is reported to Gold Command (Exec on call) Review any impact on service delivery
6. Ensure Datix is completed by the manager
7. Review whether any gaps in care, safe staffing, access to LFD testing, hand hygiene/ sufficient PPE supplies that needs addressing.
8.Ensure that PPE is ordered and readily available for staff
9. Ensure workforce solutions informed and affected agency/ bank staff names are recorded, and they are advised not to work anywhere else
Infection Prevention Team
1.Review cases and HCAI forms and liaise with service to provide advice and support
2.Ensure UKHSA/Health protection Team have been notified
3. Support UKHSA/HPT investigation of cases and transmission and review cases and timeline with service AD to identify if any gaps in service delivery that need to be addressed
4.Support Executive team with expert advice as needed
5 Notify and convene outbreak group meeting as part of the outbreak group membership. Inform IPT at Mid and South Essex ICB Mseicb.infectionpreventionandcontrol@nhs.net
6. Provide and report all information required for outbreaks in line with local Incident management team reporting tools or outbreak identified data collection system.
Appendix 2: Record of Outbreak of Respiratory Illness
RECORD OF OUTBREAK OF RESPIRATORY ILLNESS
Ward: Date:
Tel:
Record started by:
Appendix 3: Record of Undiagnosed Outbreak Symptom Illness
RECORD OF UNDIAGNOSED OUTBREAK SYMPTOM ILLNESS
Ward: Date: Record started by:
Tel:
Name of patient/ postcode
SYMPTOMS
Symptoms, e.g. rash, itchiness, pyrexia, cough, discharging membranes, e.g eyes. Date of symptoms onset
SPECIMEN e.g. sputum, urine, skin, swab.
or GP Type of sample Requested , e.g. micro, virology, cytology Date of sample Sent Result
Appendix 4: Staff Outbreak Record
Name of staff Ward/area Symptoms, e.g. rash, itchiness, pyrexia of unknown origin, discharging membranes, e.g. eyes, diarrhoea, respiratory
Date of onset of symptoms
Date of Last worked shift
Type of Swab/specimen taken
Date of swab/specimen taken
Appendix 5: Outbreak Check List
AD/Manager Outbreak Check List
Date Completed
Checklist Completed By (Print Name)
Name & Telephone Number of Hospital Ward
Name & Telephone Number of Ward Manager
Ensure Yes No Comments
Adequate and available alcohol gel (where appropriate) in all dispensers, at end of all beds, and hand wash wipes for community staff.
Check supplies daily and increase order at start of outbreak.
Check working and cleanliness of all hand sinks, basin, taps, no limescale and at least twice daily cleaning.
Ensure hand sinks are ONLY used for handwashing and have not been used to empty wash bowl water.
Ensure hand hygiene audits are undertaken to monitor staff hand decontamination
Check supplies daily and increase order at start of outbreak.
Liquid soap and paper towels are available
Check stock daily and ensure order of adequate supplies
Twice daily cleaning of ward or area of associated area of outbreak e.g ICT base, car boot, with detergent and chlorine releasing product. **** increase cleaning frequencies for all surfaces
Check and ensure daily cleaning schedule signed and completed.
Staff wear appropriate protective clothing.
Check stock of PPE, and that appropriate CE marked is evident for all equipment, and all single patient use.
Check daily level of aprons/gowns, gloves, eye protection, masks if required and order increase in supply for start of outbreak.
Check working of sluice e.g macerator or bed pan disinfectant washer
Report any faults immediately. Ensure macerator products used where possible are available.
Check stock levels daily.
Appropriate clinical waste segregation and safe disposal is carried out
Ensure daily check of waste hold with no waste on floor all in secure lockable bin.
No spillages or leakages visible, ensure area kept clean.
Segregation of infected linen, using alginate bags
Designated single-use commode for symptoms that include diarrhoea. If D&V outbreak follow policy IPPOL10 Appropriate cleaning of the commode frame and pan between each bowel movement using chlorine based product (Clinell Chlorox wipe or Tristel solution).
Patient and Staff logs of symptomatic individuals are completed daily **** (refer to outbreak management form Appendix 4 available in outbreak folder in outbreak box)
Staff allocation and capacity must be reviewed on initial notification of potential outbreak and
Allocate staff to designated cohorts and restrict movement between patients. Ward staff not to visit other areas. Community staff to restrict to area of postcode or designated caseload of patients.
Visitors are informed and restricted as appropriate ** information sheets hand out
All admissions are suspended *** community hospital matron until outbreak declared over by infection prevention or PHE.
Discharges are risk assessed on an individual basis *** community hospital matron in liaison with Infection prevention team. Nil discharge to care home/residential setting where others will be exposed.
All transfers are suspended except emergency transfers to hospital.
The receiving organisation is informed of current status and of the appropriate precautions to be taken prior to transfer.
Other services are suspended e.g visits to non-essential facility such as day care, outpatient appointments, home visits.
All affected patients are isolated or cohorted as advised by Infection prevention or PHE until outbreak is declared ended and there is no longer a risk to staff and patients.
Staff are designated to work in one area
Staff caring for affected patients must not serve food
Multi agency working is restricted. Bank/agency are restricted and advised to wait 48 -72 hours until undertaking work at another healthcare site or ward. The agency must be informed by nurse in charge.
All meetings including MDT which are classed as essential for patient care, are restricted to virtual where therapy and other staff are not required to be on ward.
Inform Infection prevention team on daily update.
Inform PHE UKHSA as reportable to CCDC if a notifiable disease
Inform Environmental Health Officer if food is suspected as a source.
EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage 1: ‘Screening’
Name of project/policy/strategy (hereafter referred to as “initiative”):
Policy for the control of an outbreak of infection in a community hospital
Provide a brief summary (bullet points) of the aims of the initiative and main activities:
Framework for the management of Diarrhoea and Vomiting on Community Hospital
Project/Policy Manager: Specialist Infection prevention Nurse Date: 23nd December 2018
This stage establishes whether a proposed initiative will have an impact from an equality perspective on any particular group of people or community – i.e. on the grounds of race (incl. religion/faith), gender (incl. sexual orientation), age, disability, or whether it is “equality neutral” (i.e. have no effect either positive or negative). In the case of gender, consider whether men and women are affected differently.
Q1. Who will benefit from this initiative? Is there likely to be a positive impact on specific groups/communities (whether or not they are the intended beneficiaries), and if so, how? Or is it clear at this stage that it will be equality “neutral”? i.e. will have no particular effect on any group.
Neutral
Q2. Is there likely to be an adverse impact on one or more minority/under-represented or community groups as a result of this initiative? If so, who may be affected and why? Or is it clear at this stage that it will be equality “neutral”?
Neutral
Q3. Is the impact of the initiative – whether positive or negative - significant enough to warrant a more detailed assessment (Stage 2 – see guidance)? If not, will there be monitoring and review to assess the impact over a period time? Briefly (bullet points) give reasons for your answer and any steps you are taking to address particular issues, including any consultation with staff or external groups/agencies.
Positive
Guidelines: Things to consider
Equality impact assessments at Provide take account of relevant equality legislation and include age, (i.e. young and old,); race and ethnicity, gender, disability, religion and faith, and sexual orientation.
The initiative may have a positive, negative or neutral impact, i.e. have no particular effect on the group/community.
Where a negative (i.e. adverse) impact is identified, it may be appropriate to make a more detailed EIA (see Stage 2), or, as important, take early action to redress this – e.g. by abandoning or modifying the initiative. NB: If the initiative contravenes equality legislation, it must be abandoned or modified.
Where an initiative has a positive impact on groups/community relations, the EIA should make this explicit, to enable the outcomes to be monitored over its lifespan.
Where there is a positive impact on particular groups does this mean there could be an adverse impact on others, and if so can this be justified? - e.g. are there other existing or planned initiatives which redress this?
It may not be possible to provide detailed answers to some of these questions at the start of the initiative. The EIA may identify a lack of relevant data, and that data-gathering is a specific action required to inform the initiative as it develops, and also to form part of a continuing evaluation and review process.
It is envisaged that it will be relatively rare for full impact assessments to be carried out at Provide. Usually, where there are particular problems identified in the screening stage, it is envisaged that the approach will be amended at this stage, and/or setting up a monitoring/evaluation system to review a policy’s impact over time.
EQUALITY IMPACT ASSESSMENT
TEMPLATE: Stage 2:
(To be used where the ‘screening phase has identified a substantial problem/concern)
This stage examines the initiative in more detail in order to obtain further information where required about its potential adverse or positive impact from an equality perspective. It will help inform whether any action needs to be taken and may form part of a continuing assessment framework as the initiative develops.
Q1. What data/information is there on the target beneficiary groups/communities? Are any of these groups under- or over-represented? Do they have access to the same resources? What are your sources of data and are there any gaps?
Q2. Is there a potential for this initiative to have a positive impact, such as tackling discrimination, promoting equality of opportunity and good community relations? If yes, how? Which are the main groups it will have an impact on?
Q3. Will the initiative have an adverse impact on any particular group or community/community relations? If yes, in what way? Will the impact be different for different groups – e.g. men and women?
Q4. Has there been consultation/is consultation planned with stakeholders/ beneficiaries/ staff who will be affected by the initiative? Summarise (bullet points) any important issues arising from the consultation.
Q5. Given your answers to the previous questions, how will your plans be revised to reduce/eliminate negative impact or enhance positive impact? Are there specific factors which need to be taken into account?
Q6. How will the initiative continue to be monitored and evaluated, including its impact on particular groups/ improving community relations? Where appropriate, identify any additional data that will be required.
Guidelines: Things to consider
An initiative may have a positive impact on some sectors of the community but leave others excluded or feeling they are excluded. Consideration should be given to how this can be tackled or minimised. It is important to ensure that relevant groups/communities are identified who should be consulted. This may require taking positive action to engage with those groups who are traditionally less likely to respond to consultations, and could form a specific part of the initiative. The consultation process should form a meaningful part of the initiative as it develops, and help inform any future action. If the EIA shows an adverse impact, is this because it contravenes any equality legislation? If so, the initiative must be modified or abandoned. There may be another way to meet the objective(s) of the initiative.
Further information:
Useful Websites www.equalityhumanrights.com Website for new Equality agency www.employers-forum.co.uk – Employers forum on disability www.efa.org.uk – Employers forum on age
© MDA 2007
EQUALITY IMPACT ASSESSMENT TEMPLATE: Stage One: ‘Screening’