Equity, Diversity, Inclusion and Belonging Self Assessment Tool (EDIB SAT)
The Equity, Diversity, Inclusion and Belonging Self Assessment Tool (EDIB SAT) was developed by Archives West Midlands. It enables a quick appraisal of an organisation’s current position with regard to equality, diversity, inclusion and belonging (EDIB) relating to all aspects of its service, including acquisition, management and access. Establishing a base line will help guide decisions about how to address the EDIB agenda.
Contents:
Introduction
How to apply the EDIB SAT
Explanation of Terms
Summary of EDIB The Rapid Assessment Model
Organisational capability – detail
Scoring
[A] Organisational Viability
[B] Policy & Strategy
[C] Legal Basis
[D] Continuous Improvement
[E] Leading and Directing Change for EDIB
[F] Stakeholder engagement
[G] Community of Practice
SERVICE CAPABILITY
Scoring
[H] Recruitment, Selection & Retention
[I] Knowledge and Understanding of EDIB within Archives
[J] Inclusive collections information
[K] New Collections – Acquisition of items reflecting / of interest to diverse communities
[L] Existing Collections – Reinterpretation / Re-presentation of items
[M] Audience engagement
[N] Access restriction decisions
[0] Community and Peer Support
Appendix 1 - SAT Worksheet
Appendix 2 Possible sources of information to support the completion of an EDIB SAT
Introduction
This Self-Assessment Tool (SAT) enables a quick appraisal of an organisation’s current position with regard to equality, diversity, inclusion and belonging (EDIB) relating to all aspects of its service, including acquisition, management and access. Establishing a base line will help guide decisions about how to address the EDIB agenda.
The SAT was developed by Archives West Midlands (AWM) and is informed by experience, observation and feedback gained through AWM’s ’No Barriers Project’. It was inspired by the Digital Preservation Coalition’s ‘maturity modelling’ approach and the Rapid Assessment Model (RAM) it created for digital preservation.
Who is this designed for?
This SAT is designed to be useable across the UK, being generic, non-prescriptive and recognising the diversity of organisational types, function, operating contexts and access requirements. It provides a set of organisational and service level capabilities that are rated on a simple and consistent set of maturity levels. It will enable organisations to monitor their progress as they develop and improve their capability to support and embed EDIB practices across their service provision and organisational workflows. The EDIB SAT is intended to be a tool for internal reflection to inform continuous improvement. As a self-assessment process it is inevitably subjective so is neither a benchmark to measure across different organisations nor a certification standard.
The completion of the SAT should be led by the individual responsible for managing the archive. It is recommended that this exercise should be a group exercise that is undertaken by knowledgeable staff at all levels, volunteer post-holders (e.g. trustees) and any other relevant stakeholders to ensure well-informed and comprehensive answers for both strategic and operational issues. However, it is recognised that this is not always possible and that the SAT may be completed by just one person.
Benefits of Use
The EDIB SAT has a number of advantages:
Designed for organisations of any size and in any sector across the UK
Non-prescriptive
Based on existing good practice
Simple to understand and quick to apply
By applying this SAT, an organisation will be able to produce evidence-based data on their capacity and maturity towards EDIB over time, as well as being able to answer questions such as:
Where is our organisation now?
Are there any gaps in our understanding of EDIB?
What are the EDIB challenges for us?
Where should we be in the future?
How close is our organisation to reaching the level of EDIB maturity we would like?
What should the priorities be for improving our EDIB capability?
What support and resources do we need in order to help our organisation move forward?
How has our capability improved over time?
Furthermore, the process of completing the SAT by involving a range of relevant stakeholders can be used as a mechanism to develop advocacy, discussion and solutions for upgrading EDIB within an organisation.
In Appendix 2 is a brief list of useful resources that may be helpful in completing the SAT and developing EDIB with respect to archive collections.
Comments, Feedback and Revisions
Whilst EDIB activities have been occurring in many organisations for years, the discipline as a whole will continue to change and develop in response to external drivers and fresh challenges. New solutions, ways of working and examples of good practice will emerge. For this model to be useful for demonstrating progress, we anticipate that the basic premise of each of the maturity levels will remain the same. However, the examples within each section may be updated and enhanced over time. If you have any suggestions for updates or additions, please contact the Archives and Records Association at ara@archives.org. uk
Acknowledgements
In developing the EDIB Archives West Midlands was grateful to the Digital Preservation Coalition for developing, trialling and refining the template for a Rapid Assessment Model. It also thanked everyone who provided advice and suggestions through the ‘No Barriers Project’ as it encountered and explored obstacles to achieving a truly inclusive archive sector. This included AWM Trustees and representatives of member organisations, the ‘No Barriers Project’ Board, individual archive and related professionals, service users and members of the public not currently regularly using archive services. AWM also acknowledged the work of the Project trainee Jessica Whitfield, the Project hosts Shakespeare Birthplace Trust and Wolverhampton City Archives and the Project Funders – the UK National Archives, Archives West Midlands and the Archives & Records Association (UK & Ireland).
How to apply the EDIB SAT
This model should be used as a rapid self-assessment tool, enabling a quick and simple assessment which can be applied frequently with minimal effort and consultation across an organisation. It is expressly not a comprehensive certification tool.
Begin by defining what is the ‘organisation’ being assessed by the SAT. This could be purely the archive service or include the wider organisation within which the archive might sit e.g. local authority heritage services, or the entirety of the organisation which holds the archive e.g. a charity.
The tool is made up of a number of ‘capabilities’ organised into ‘Organisational’ and ‘Service’ (summarised on pages 9-11). Each capability is introduced by ‘Coverage’, which outlines what area of activity is covered by this capability, and ‘Prompts’, which provides questions to help you think about how to score for that capability. The ‘Prompts’ section seeks to elucidate the underlying principle of that capability but is not an exhaustive list of questions. For each capability score the organisation with a score from 0 to 4 that most accurately reflects the organisation (the scoring levels are described in each section). For each capability a guiding statement is supplied outlining the criteria for each scoring level within that capability . For criteria levels 2 to 4, bulleted lists of examples are also supplied. It is important to note that the bulleted lists within each criteria level are provided as illustrative examples and prompts, not a checklist of requirements that must be met before the respective level is attained.
Scoring should be an honest and realistic assessment on the level closest to an organisation’s current state. When considering how to score your organisation against an individual capability, reflect on the underlying principles of the scoring levels. Where an organisation partially meets a level but feels that more work is required in order to sit comfortably within that level, the score awarded should be the level below. Half marks are not given!
Furthermore, recognise what the organisation is achieving even if it appears small scale. Even modest activity indicates that EDIB does have a place within work practices and attitudes of the organisation and its people. In particular, recognise where the organisation has capability even if it does not have much resource. For example, an organisation may acknowledge that its collection content needs significant development requiring significant investment, which the organisation cannot afford. However, smaller efforts can be undertaken such as acknowledging the need in a collections development plan, collecting individual small collections on an ad hoc basis, raising awareness in staff. Once an organisation is aware of EDIB themes within a particular area of operations, it is then more alert to opportunities to address that theme. Something is so much more than nothing.
As you work through the SAT you can apply themes which recur across the assessment process including:
Consideration for the welfare of the user and the practitioner is a sign of the maturity of the organisation.
Is there sufficient resource?
Is activity by individuals or built into the organisation’s policies and processes?
Is EDIB work welcomed and rewarded within the organisation?
A worksheet sits alongside this model which allows organisations to record the following:
The current maturity level for each of the criteria
Notes on/evidence of why this level has been selected
The level of maturity the organisation wishes to achieve
Notes on the target level, specifically, what needs to be done to achieve it
This worksheet can be found at Appendix 2
Early testing of the model suggests that the basic assessment can be carried out in less than two hours by someone with good knowledge of Equality, Diversity, Inclusion and Belonging and how it is applied in their own organisation. For others it may take longer, particularly if multiple stakeholders need to be consulted. Setting future goals and priorities is likely to be a longer process.
It is suggested that the EDIB SAT is completed by a group to capture a range of perspectives, skills, priorities and experiences. However, the SAT can be completed by one person but in that scenario it could be useful to discuss scorings with a critical friend if possible.
An organisation should then consider which level they would like to achieve in the future. Setting a target level will increase understanding of gaps and priorities for moving forward. A target is most useful if it is realistic and set with a clear understanding of organisational context and priorities. The time frame used for these target levels should be noted – for some organisations short term targets to be completed in the next 12 months will be appropriate, others may find it more helpful to consider where they would like to be in two - three years’ time.
Explanation of Terms
EDIB – Equality, Diversity, Inclusion and Belonging
This focuses on activities intended to ensure that organisations are compliant with the Equalities Act 2010. The element ‘Belonging’ recognises that equality, diversity and inclusion include a sense of belonging to a place or shared space. This is integral to services provided by archives and has a resonance with refugees.
This model has been informed by approaches to the Equalities Act 2010, including:
Public Sector Equality Duty https://www.gov.uk/government/publications/public-sector-equality-duty
EDIB Activities
Relates to practical actions to meet the requirements of the Equalities Act 2010. In the archive context, these include:
HR practices – recruitment, selections, retention
Welfare issues – for staff and researchers engaging with problematic content
Balanced closure decisions – transparent decision making, relating to access to closed records
Inclusive Cataloguing – addressing offensive / inaccurate / archaic language
Contemporary Collections – collecting policies, appraisal criteria
EDIB Community of Practice
This relates to professionals within the archives and related professions, specialist advisers (legal, HR, Information Compliance etc), community advocates, staff and user representatives and all interested people, who combine to share advice, best practice, problem solving activities etc.
Summary of EDIB The Rapid Assessment Model
Organisational capabilities are defined at an organisational or other appropriate high level of granularity. Service capabilities refer to operational levels that might be considered at a lower level of granularity, possibly specific to a particular content stream.
ORGANISATIONAL CAPABILITY - Overview
[A] Organisational Viability
Governance, organisational structure, staffing and resourcing of EDIB activities.
[B] Policy and Strategy
Policies, strategies, and procedures which govern the operation and management of EDIB activities
[C] Legal Basis
Management of legal rights and responsibilities, compliance with relevant regulation and adherence to ethical codes
[D] Continuous Improvement
Processes for the assessment of current EDIB preservation capabilities, the definition of goals and the monitoring of progress
[E] Leading and Directing Change for EDIB
Processes for ensuring that EDIB practice is incorporated within all elements of archive practice and the organisation
[F] Stakeholder engagement
The experience for stakeholders (current and potential), who are not users or staff, when engaging with the organisation by any means
[G] Community of Practice
Engagement with and contribution to the wider community of practice concerning EDIB
SERVICE CAPABILITY - Overview
[H] Recruitment, Selection & Retention
Processes to attract and retain diverse applicants
[I] Knowledge and Understanding of EDIB within Archives
Processes to educate existing staff to identify and build confidence in addressing exclusionary practice, offensive / inaccurate language in collections, catalogues and finding aids,
[J] Inclusive Collections Information
Processes for inclusive cataloguing – to address offensive / inaccurate language
[K] New Collections - Acquisition of items reflecting / of interest to diverse communities
Processes for ensuring EDIB issues are incorporated in collections policies and appraisal criteria
[L] Existing Collections - Reinterpretation / Re-presentation of items
Processes to reassess collections for their interest / relevance to diverse communities
[M] Audience engagement
The experience for users (current and potential) when engaging with the service onsite, offsite and online
[N] Access restriction decisions
Processes to ensure that decisions about restricting access affecting collections are transparent and do not favour or disadvantage individuals or communities
[0] Community and Peer Support
Processes for seeking advice from influencers within communities and acknowledged experts.
Organisational capability – detail
Scoring
[D] Continuous Improvement
0 - Very low or no awareness
1 - Some awareness but no analysis of barriers and no planning or action
2 - Basic activity – identification of key barriers and simple plans and actions
3 - Managed activity – coherent identification of barriers and comprehensive plans and activities
4 - Optimised activity – EDIB activity fully integrated into all areas of activity and strategic behaviour with on-going review and revision
[A] Organisational Viability
Coverage
Governance, organisational structure, staffing and resourcing of EDIB activities
Prompts
Is your organisation aware of EDIB?
What action is it taking to bring in EDIB?
How extensive is this organisational action?
How well resourced is this organisational action?
How does the wider organisation’s approach to EDIB support the archive service in EDIB matters?
Scoring
0 - The organisation has minimal awareness of the need to incorporate EDIB into its services
1 – The organisation is aware of the need to support EDIB focused activities
2 - Activities are supported and resourced at a basic level within the organisation, for example:
There is some engagement from senior management.
Staff have assigned responsibilities and capacity and support to undertake them.
A budget for EDIB activities has been allocated (may be time-limited).
Staff development requirements have been identified
3 - Activities are managed and supported within the organisation, for example:
There is commitment from senior management.
Responsibility for EDIB is clearly owned.
Staff have the skills they need to carry out EDIB related activities and access to relevant expertise where required.
A dedicated core budget for EDIB activities has been allocated.
Budgets, staff roles and development needs are regularly assessed.
Metrics and reports can be generated about the impact of EDIB activities to help inform reporting, planning and management.
Staff development requirements have been funded.
Equality, Diversity, Inclusion & Belonging activities have been identified as a strategic priority
4 - Activities are proactively managed, enhanced and developed within the organisation, for example:
Benefits of embracing EDIB activities are recognized, championed and embedded throughout the organisation.
The organisation links up EDIB activities with stakeholder groups.
One or more staff are considered to be experts in their field.
Budgets, staff roles and development needs are proactively assessed in anticipation of future changes.
Metrics and reports about EDIB focused activities are combined with projections of future needs to proactively inform reporting, planning and management.
The efficacy of staff development is regularly monitored.
Continuity and succession plans are in place to ensure ongoing commitment to EDIB focused activities, if management responsibility changes for impacted service areas
[B] Policy & Strategy
Coverage
Policies, strategies, and procedures which govern the operation and management of EDIB activities
Prompts
Having an EDIB policy is a good start but how far is the policy aligned to and embedded in daily activity across the organisation?
Can the archive service align itself with wider organisational strategy to enable EDIB?
Scoring
0 - The organisation has minimal awareness of the need for a policy framework for EDIB activities
1 - The organisation is aware of the need to develop an EDIB policy framework and may have some relevant policies, but no EDIB focused policy or strategy exists.
2 - The organisation has a basic policy framework, for example:
A high-level EDIB policy or strategy exists.
Other policies relating to EDIB may exist but there are gaps in coverage or application
Some procedures for EDIB focused activities are in place and may be documented.
Scope of collection is defined and understood (e.g.: collections development policy, retention schedule).
Development of policy and procedure is informed by a basic understanding of service user / potential user needs.
The organisation has a comprehensive & managed suite of policies, strategies & procedures e.g.
The EDIB policy/strategy is aligned with other organisational policies and is reviewed according to an agreed schedule. Policy and procedure take into account any relevant ethical issues.
A suite of documented processes and procedures exists for managing, and providing ethical access to collections
All staff are aware of EDIB priorities and relevant staff are aware of EDIB policies, strategies and procedures, applicable to their roles and responsibilities
Knowledge of current and future use informs policy and procedure (for example on collecting, conservation, access).
3 – The organisation has a comprehensive and managed suite policies, plans and procedures e.g.
The EDIB policy/strategy is aligned with other organisational policies and is reviewed according to an agreed schedule.
Policy and procedure take into account any relevant ethical issues.
A suite of documented processes and procedures for managing, and providing ethical access to archives exists.
All relevant staff are aware of EDIB policies, strategies and procedures.
Knowledge of current and future use cases for content informs policy and procedure (for example on collecting, conservation, access).
4 - The organisation proactively manages its policies, plans and procedures and has a commitment to continuous process improvement, e.g.
A full suite of policies, plans and procedures relating to EDIB activities is in place
Policy and strategy is fully implemented and staff actively engage with it.
Policy, strategy and procedure are proactively monitored and updated to reflect internal changes, changes in other policies, user needs, or other external factors.
[C] Legal Basis
Coverage
Management of legal rights and responsibilities, compliance with relevant regulation and adherence to ethical codes.
Prompts
Where is your organisation situated geographically and situationally as that will govern what is applicable legislation?
Apart from the Equalities Act what other legislation will be relevant for your particular organisation and context?
Look beyond the bare legislative minimum to the approach and extent of observing legal requirements and following the spirit of the legislation as well as the written requirements e.g. does your organisation have exclusionary practices around recruitment?
How does your organisation monitor and develop its legal EDIB compliance?
Scoring
0 - The organisation has minimal awareness of either the need to manage legal rights and responsibilities or basic principles for applying them.
1 - The organisation is aware of the need to manage legal rights and responsibilities and an understanding of basic principles
2 - Basic management of legal rights and responsibilities relating to EDIB is carried out e.g.
Key legal rights and responsibilities have been identified and documented.
Relevant codes of conduct relating to professional ethics are adhered to.
3 - Legal rights and responsibilities relating to EDIB are managed e.g.
Information relating to legal rights and contracts can be easily located and accessed when necessary
Legal issues and risks are managed and regularly reviewed.
Roles and responsibilities for managing legal issues and risks are clearly assigned.
Expert advice can be accessed when necessary (e.g. Legal, HR, information compliance)
Actions carried out due to legal rights and responsibilities are documented.
Ethical Accessibility responsibilities are fulfilled, in line with the requirements of relevant local or national legislation
4 - Legal rights and responsibilities relating to EDIB are proactively managed e.g.
Legal issues and risks are proactively monitored and mitigated.
The organisation engages with and inputs into legal and judicial processes that create regulation.
Coverage
Processes for the assessment of EDIB capabilities, the definition of goals and the monitoring of progress.
Prompts
Is your organisation complacent about EDIB or does it recognise where it needs to take action?
How is the approach to EDIB growing and developing in your organisation?
Is improvement left to interested individuals or is it driven by corporate strategy and decisions?
How is continuous improvement enabled e.g. applying this SAT on a regular basis?
Scoring
0 - The organisation has minimal awareness of current position or goals.
1 - The organisation is aware of the need to understand current position and define goals.
2 - The organisation has a basic understanding of current EDIB capabilities & areas for improvement:
An initial benchmarking exercise has been carried out
Gaps in EDIB capability have been identified.
There is an understanding of where the organisation is relative to peers
3 - The organisation has a managed process for benchmarking and establishing goals e.g.
Goals have been established and agreed with senior managers.
Roadmap is in place to reach goals.
Benchmarking exercise is repeated periodically.
4 - The organisation undertakes continuous process improvement, with proactive management e.g.
Certification/external review has been achieved and is maintained as appropriate e.g. Archive Service Accreditation, external stakeholder consultation
Recommendations for improvement have been acted upon
Outcomes of reviews are communicated to key stakeholders
Goals and roadmap are reviewed periodically
Improvement is viewed as a long-term process with on-going planning, evaluation and development
[E] Leading and Directing Change for EDIB
[F] Stakeholder engagement
Coverage
Processes for ensuring that EDIB practice is incorporated within all elements of archive practice and the organisation
Prompts
Who identifies the need for change regarding EDIB matters?
Who ensures that change is implemented?
How does the organisation approach change?
How far does the organisation recognise the need for and support change e.g. policies and practices around changing cataloguing terminology?
How far can an individual in the organisation identify needs and implement change around EDIB and how far are they supported by the organisation to do so by recognising, accepting and enabling/resourcing the necessary change?
Scoring
0 – The organisation has minimal awareness of the need to lead and direct change
1 - The organisation is aware of the need to lead and direct change
2 - The organisation has a basic understanding of the need to lead and direct change e.g.
Barriers to EDIB in archives are identified [See [I] below]
Ad hoc activities are undertaken to address barriers e.g. approach potential donors for community records
Ad hoc community engagement activities are undertaken
Internal advocacy for EDIB within the organisation is undertaken
3 - The organisation has comprehensive processes, embedding EDIB within all elements of archive practice e.g.
Accurately identify target communities, whose protected characteristics under the Equality Act 2010 overtly or subtly result in their marginalisation from archives [see [I] beloIdentify inclusive practice which can engage such communities, develop policies and procedures to facilitate this [see [G] above]
Prioritise activities for EDIB with resource requirements, within a framework of developing the whole organisation
Effective staff induction, development and support, to ensure EDIB objectives are achieved
4 – The organisation proactively leads and directs change for EDIB e.g.
Partnerships are developed and maintained with internal and external stakeholders, to underpin EDIB for the organisation
Partnerships are developed and maintained with identified diverse communities, to underpin the organisation’s commitment to EDIB
A culture of open discussion on EDIB matters within a safe environment, so that all aspects can be respectfully examined, leading to an EDIB positive outlook at all levels of the organisation
Sharing knowledge and experience with other archive organisations to support their EDIB development
Advocating to current and potential stakeholders about the importance of developing good EDIB practice within archive organisations
Coverage
The experience for stakeholders (current and potential), who are not users or staff (who are covered by other capabilities), when engaging with the organisation by any means.
Prompts
Does the organisation only link with the same groups of people and types of representatives of those people?
Is the organisation aware that there are potential stakeholders it is not reaching out to and the wide range of potential stakeholders?
Does the organisation strive to exchange with the widest range of stakeholders including over time and distance?
Is the organisation open to engaging with different categories of representatives of those stakeholders or does it always refer back to the same representatives e.g. a leader of a particular community action group may be seen as the appropriate channel to work with to the exclusion of other voices within the community?
Does the organisation have the capability to engage with diverse stakeholders and expand its stakeholders?
If not how is it addressing this issue?
Scoring
0 - The organisation has minimal awareness of the differing needs and aspirations of diverse stakeholders
1 – The organisation is aware of the need to support different needs and aspirations of a range of diverse stakeholders, both current and potential
2 - Undertaking a small number of ad hoc actions to engage a narrow range of different stakeholders through existing routes of engagement. For example:
Inviting a known and recognised community representative onto the governing body of the organisation
A one-off project to work with a specific community
3 – Development of engagement with diverse range of stakeholders is managed and supported e.g.
Analysis to identify imbalances in particular stakeholder types e.g. depositors, trustees
Development of goals and workplans for diversifying stakeholders e.g. recruitment drive for trustees
Senior management support for stakeholder development e.g. attending key meetings, advocating at leadership level, developing appropriate policies, providing resource
4 - The organisation undertakes continuous process improvement, with proactive management to develop the diversity of stakeholders
[G] Community of Practice
Coverage
Engagement with and contribution to the wider community of practice concerning EDIB. A community of practice is where people come together to shares ideas and experiences about a particular theme. Such communities could be external (e.g. the Archives and Records Association’s Diversity Allies, the Disability Collaborative Network, Curating for Change) or internal (e.g. diversity working groups, EDI forums).
Prompts
Does the organisation share and facilitate sharing around good EDIB practice?
Does it take a role in the development, enhancement and sharing of good and best practice? E.g. committed to paying staff attendance charge and releasing staff to attend EDIB training
Where else could the organisation support that engagement?
Is your organisation linking in to other organisations that can support work on developing EDIB practice?
Scoring
0 - The organisation has minimal awareness of the need to engage with the wider EDIB community of practice
1 - The organisation is aware of the benefits of collaboration with the wider community of practice
2 - The organisation engages with the wider community of practice at a basic level e.g.
Network/s of relevant contacts have been established
Relevant community events can be accessed.
There is commitment to learn from the experiences of others.
3 - Engagement with the wider community of practice is supported and managed e.g.
Relevant networks and communities have been joined.
An active role is taken in relevant EDIB communities of practice
Expert advice can be accessed as appropriate.
Successes and lessons learned from own work is shared with the community
4 - The organisation takes a leadership role in the EDIB community of practice and proactively manages these engagements e.g
A proactive role is taken in establishing or organizing community networks, collaborative activities or events
Contributions are made to expert groups, specialist subject networks, committees or task forces.