EQUALITY IMPACT ASSESSMENT (EIA) PRO-FORMA
Legislation says that the University must take steps to understand the effect, or potential effect, of its
policies* on different groups of people. This is to ensure that a policy is neither directly nor indirectly
discriminatory and to identify how it does, or could, advance equality and foster good relations
between different groups of people.
Legislation groups people by ‘protected characteristics’ and it is these ‘protected characteristics’ that
need to be considered when carrying out an EIA.
The protected characteristics are: disability, race, sex, age, gender reassignment, marriage and
civil partnership, pregnancy and maternity, religion or belief and sexual orientation.
Your help is needed to do this, not just because the law says so, but because the University is
committed to equality of opportunity for all and to ensuring that all the University’s policies are
developed with an awareness of their consequences for different groups of people.
Heads of Sections/Departments are responsible for ensuring this form is completed for each policy
they ‘own’. It should take no more than 30 minutes to complete. Questions 1-6 only of this EIA proforma need to be completed for new policies. For existing policies, please answer all the questions.
Policies should be assessed for their effect on equality every 3-5 years.
* For the purpose of EIAs, the term policy refers to formal policies, procedures and processes. It does
not include informal policies, procedures or processes.
Name of policy
Web address of policy
Notes For Examiners - Procedure For Examination of a Higher
Degree By A Thesis/Dissertation (PhD Or PhD Doctoral
Programme)
http://www2.essex.ac.uk/academic/services/staff/grad/exproc1.doc
Policy-holding
Department/Section
Registry
Academic Section
Is this a new or existing policy?
Existing
Date assessment completed
29/04/2013
Name and job title of person
completing pro-forma
Adam Atkins
Academic Section Project Assistant
Q1. What is the purpose of the policy?
This policy outlines the procedure for the examination of a higher degree by a thesis or dissertation.
Q2. Does the policy involve, or have consequences for, the people the University serves and
employs?
Yes. The policy is for the attention of examiners and outlines the procedure for examination of a
higher degree by a thesis or dissertation. Examiners are expected to follow this policy adhering to the
processes and making recommendations in line with the policy and the University’s Higher Degree
Regulations.
Q3. Does the policy require decisions to be made in relation to individuals or groups of
individuals?
Yes. Internal and external examiners will assess a piece of work and then make recommendations in
line with the policy and the University’s Higher Degree Regulations.
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Q4. What is the decision-making process and is it fair and transparent?
A copy of the candidate’s thesis is sent to both the internal and external examiner along with a copy of
the University’s Higher Degree Regulations. The examiner’s attention will be drawn in particular to the
sections relating to the structure and presentation of the thesis. Both examiners will complete an
independent report on the thesis and return it to the registry.
If, exceptionally, the examiners wish to recommend that the candidate be excused from the oral
examination they should indicate this on their individual reports and the Dean's approval will be
sought. The internal examiner will then ask the external examiner to complete the Joint Report and
return the thesis copy.
Otherwise, on receipt of the external examiner's report (and once the internal examiner's report has
also been received) the Registry will copy the external’s report, and then send it to the internal
examiner along with the Joint Report form. The internal examiner arranges the oral examination and
the completion and immediate return of the Joint Report form indicating the result of the examination.
The thesis copies should be returned either to the candidate or the Registry
This process of examination is carried out impartially by two individuals who then collaborate and
make a recommendation in accordance with the policy and the University’s Higher Degree
Regulations. This policy presents a clear and fair process that enables consistency in academic
standards.
Q5. Please give details of what equality training is/will be provided for decision makers?
All University staff are required to complete the University’s equality and diversity online training
programme.
Q6. Referring to the list of protected characteristics at the top of this form, how do you/will you
monitor the effect this policy has on groups of people with these PCs?
Any detrimental effect on persons with any particular protected characteristic identified by monitoring,
complaint or appeal will be investigated and if necessary appropriate remedial action will be taken.
Q7. Referring to Q6 above, have you identified any positive or negative impact on any group of
people who share a protected characteristic?
The policy outlines a fair process where research degree students are assessed on their academic
merit. If students wish to bring instances of extenuating circumstances to light, including those relating
to a protected characteristic, they may do so by following the extenuating circumstances procedure,
where greater consideration will be given in light of the situation they were / are subject to.
Undergraduate students with a diagnosis of a Specific Learning Difficulty or Asperger Syndrome are
able to alert markers of difficulties that are encountered when writing and to request that consideration
is given to neurodiverse factors when marking. They can do this by attaching a coversheet to their
submitted work (arranged by Student Support). This will not result in the student being given extra
marks, but it should prompt the marker to respect any difficulties that might be encountered and, if
learning outcomes are not compromised, it may mean that they are less likely to penalise for
infelicities of style. These coversheets are designed to remove any unfair disadvantage that might
come from having a Specific learning Difficulty or Asperger Syndrome in the marking process.
This method of notification is not relevant to research degree students submitting their thesis or
dissertation, meaning that examiners are not made aware of the difficulties a student might encounter
as a result of their disability during the marking process.
Q8. Have there been any complaints or issues raised about the policy in relation to its effect
on people who share a protected characteristic?
No
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Q9. Are there any (further) measures that could be taken to continue to ensure the policy is
neither directly nor indirectly discriminatory?
Consideration might be given to providing a mechanism for students to disclose a Specific Learning
Difficulty or diagnosis of Asperger Syndrome to examiners when submitting their research degree
thesis or dissertation. This would alert examiners of the extra difficulties that might be encountered as
a result of this protected characteristic and in turn take active steps to remove any unfair
disadvantage that might come from having a Specific learning Difficulty or Asperger Syndrome in the
marking process.
Q10. Have you identified any ways in which the policy does, or could advance equality or
foster good relations between different groups of people?
The extenuating circumstances procedure demonstrates a way in which the University shows
understanding for how some students might encounter situations beyond their control that have a
significant effect on their academic performance. This can include students with protected
characteristics and offers an opportunity for explanation if extra difficulties are encountered as a result
of a protected characteristic.
Please now email the completed form to diversity@essex.ac.uk. The Equality and Diversity
Committee (EADC) have responsibility for overseeing the completion of EIAs. Equality and Diversity
will assess the information provided in the first instance and will either:
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Decide that no action is required and report this to the Equality and Diversity Committee;
Recommend actions to be taken and report this to the Equality and Diversity Committee *;
Refer the EIA to the Equality and Diversity Committee who have the option to require a more
detailed assessment be carried out.
The individual completing the EIA pro-forma will be informed of the outcome of the assessment by
Equality and Diversity as soon as possible after submitting the form.
*If Equality and Diversity recommend action(s) be taken, a report outlining the progress made against
the recommended actions will be requested one year after the EIA has taken place.
For completion by Equality and Diversity
Name of Policy
Notes For Examiners - Procedure For
Examination of a Higher Degree By A
Thesis/Dissertation (PhD Or PhD Doctoral
Programme)
No.
Should this EIA be referred on to the Equality
and Diversity Committee for further
consideration?
If no, what recommendations, if any, should
be made to the Policy-holding
Department/Section?
Date:
1) Consideration should be given to providing a
mechanism for research students to disclose a
Specific Learning Difficulty or a diagnosis of
Asperger Syndrome to examiners when
submitting their research degree thesis or
dissertation.
2) Consideration should be given to monitoring
the outcomes for research students (pass, pass
with minor corrections, refer or fail) by protected
characteristic
28 August 2013
Signed
Karen Bush, Equality and Diversity Manager
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