Equality Impact Assessment Form
Step 1 – Identify the policy
The term policy is interpreted broadly in equality legislation, and refers to anything that describes
what we do and how we expect to do it. It can range from published University policies and
procedures to the everyday customs and practices – sometimes unwritten – that contribute to the
way our policies are implemented and how our services are delivered.
Published statements of policy are a useful starting point for equality impact assessments, as they
establish the overall purpose of particular activities. Please use this form to document your
assessment.
Policy title
Staff Disciplinary and Dismissal Policy and
Procedure
Faculty / Support Service carrying out the
assessment
HR Services
New or previously approved policy?
Previously approved
Date of approval / last review (if known)
November 2005
Name and role of Assessor(s)
Faith Marchal & Kate Wallis
Step 2 – Further information
1. Who is responsible for the policy that is
being assessed?
Director of HR Services
2. Describe the main aims, objectives and
purpose of the policy
It applies “when there has been a failure to
meet standards of job performance,
conduct, attendance, or for a breach of any
terms and conditions of employment” (2.1).
It aims to provide fair and consistent
treatment for all, and makes provision for
reasonable adjustments for disabled
people.
3. Are there associated objectives of the
policy? If so, please explain.
Examples include statutory requirements,
sector initiatives, etc.
Overarching aim is “to help and encourage
all employees to achieve and maintain
standards of conduct, attendance and work
performance acceptable to the University”
(2.2). To ensure compliance with
procedural requirements of statutory
disciplinary and dismissal procedures, and
the ACAS code of practice.
4. Who is expected to benefit from this
policy?
All staff other than those within their
probationary period, the Vice Chancellor
and other senior postholders as determined
by the Board of Governors, for whom
separate procedures apply.
5. Who was consulted on this policy?
Senior managers, trade unions, Governors
(for approval)
6. How has the policy been explained to
those who would be directly or indirectly
affected by it?
Employment Guide, and publication on HR
Online.
7. What outcome(s) are meant to be
achieved from this policy?
Fair and equitable performance
management against agreed standards of
conduct and/or performance.
8. What factors could contribute to the
outcome(s)?
Clear communication of standards of
conduct and/or performance
Managers’ understanding of and correct
implementation of procedures.
9. What factors could detract from the
outcome(s)?
Lack of awareness of standards of conduct
and/or performance
Managers’ failure to follow the procedures
correctly.
Step 3 – Assess the impact on different groups of people
10. In the table below, please tick whether the policy affects particular groups of people –
the Equality Target Groups below -- in different ways, compared to other groups. Here
are some examples:
Positive impact: a policy or practice where the impact on a particular group of people is
more positive than for other groups, e.g., accessible website design. It can also include
legally permitted positive action initiatives designed to remedy workforce imbalance, such
as job interview guarantee schemes for disabled people.
Negative impact: a policy or practice where the impact on a particular group of people is
more negative than for other groups (e.g., where the choice of venue for a staff social
occasion precludes members of a particular faith or belief group from participating).
Neutral impact: a policy or practice with neither a positive nor a negative impact on any
group or groups of people, compared to others.
Equality Target
Group
Positive
impact
Negative
impact
Neutral
impact
Reasons / comments
Men
X
This policy & procedure applies
equally to all staff, regardless of
gender, race, disability, sexual
orientation, religion or age.
Women
X
As above
People from
black and
minority ethnic
communities
X
As above
Disabled people
X
As above; policy statement
acknowledges the requirement to
make reasonable adjustments for
disabled people as appropriate.
Gay, Lesbian
and Bisexual
People
X
As above
Transgender
people
X
As above
Older people
(50+)
X
As above
Younger people
(17 – 25)
X
As above
Faith or belief
groups
X
As above
Step 4 – Promoting equality
10. Please give a brief description of
how this policy promotes equality.
It provides a clear framework for managers and
staff through which disciplinary issues are to be
addressed fairly and equitably, with informal
actions available for minor misconduct or
unsatisfactory performance.
11. If there is no evidence that the
policy promotes equality, what
changes, if any, could be made to
achieve this?
n/a
12. If there is a negative impact on
any equality target groups, can this
impact be legally and objectively
justified? (If no, then a full Equality
Impact Assessment should be
completed* ).
n/a
Step 5 – Recommendation
13. Is a full Equality Impact
Assessment required?
No 
Signature of Assessor(s): Faith Marchal & Kate Wallis
Yes 
Date: 2nd May 2008
Authorised by:
(Dean of Faculty, Director of Support Service)
Approved for publication by:
(Member of the Equality & Diversity Group)
* Recommended reading:
Conducting Impact Assessments for Equal Opportunities in Higher Education. September
2007, HEFCE and Equality Challenge Unit.
This publication is available online in .pdf and text format at:
http://www.ecu.ac.uk/publications/
Equality Impact Assessment Flowchart
Identify the policy,
practice or procedure
In its design or implementation,
does it intentionally or unwittingly
discriminate against particular
groups of people, e.g., men,
women, disabled people, people
from different racial groups and
religions, age groups, and sexual
orientations?
How do you know?
Who or what
information did you
consult?
YES
Can you legally
justify the
discrimination on
objective grounds?
NO
UNSURE
Ask those most
affected, and
consult relevant
staff or student
data.
NO
How do you know?
Who or what
information did you
consult?
Good! There is no need
to change this policy at
present, though
remember to keep it
under review.
YES
You will need to change this
policy, practice or procedure.
When doing so, you will need to
ensure that any amendments
made do not result in unjustified
discrimination towards other
groups. You will then need to
repeat the Policy Impact
Assessment process.
You may need to
explain your
justification further. A
full Policy Impact
Assessment may also
be required.
Recommended reading:
Conducting Impact Assessments for Equal Opportunities in Higher Education. September 2007,
HEFCE and Equality Challenge Unit.
This publication is available online in .pdf and text format at:
http://www.ecu.ac.uk/publications/