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’ 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. 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
Policy-holding Department/Section
Disciplinary Procedure (Support Staff Grades 16) – updated procedure
Human Resources
Date assessment completed
17 February 2012
Name and job title of person completing pro-forma
Ellen Sample, HR Manager
Q1. What is the purpose of the policy? Please explain in no more than 50 words.
The purpose of the procedure is to help and encourage members of staff to achieve and maintain the
required standards of conduct and attendance, and to ensure that when disciplinary action needs to
be taken it is applied consistently and fairly in every case.
Q2. Does the policy involve, or have consequences for, the people the University serves and
employs? Please answer Yes or No. If yes, please describe all those affected. If No, there is no need
to answer any further questions.
Yes, it will be applied, when and if necessary, to all staff in Grades 1 to 6 and will be operated by the
relevant managers of these staff.
Q3. Does the policy require decisions to be made in relation to individuals or groups of
individuals? Please answer Yes or No. If Yes, please identify the responsible person(s) e.g. Human
Resources Manager.
Yes, individuals.
The responsible person:
 Line managers/supervisors
 Heads of Department, Section, Faculty, Centre or School
 Pro Vice Chancellors
 Registrar and Secretary
 Senior members of University staff
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Q4. What is the decision-making process and is it fair and transparent? E.g. if the decision
relates to determining whether an academic offence has been committed, what is the decision based
on and how are individuals made aware of this?
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Some discretion may be exercised by those responsible for making decisions, particularly
when deciding whether an investigation and /or suspension is necessary prior to moving to
the formal stages of the procedure. All managers should act in accordance with the
procedure and should consult the relevant HR Manager/Officer before deciding on their
course of action.
The member of staff has the right to be accompanied by a workplace colleague or a trade
union representative at each stage of the formal procedure.
The member of staff has a right of appeal at each stage of the formal procedure.
Heads of Departments are asked to:
 Treat staff fairly and consistently
 Ensure that adequate communication takes place with their staff
 Ensure that a member of staff is advised of the nature of any complaint and given an
opportunity to state their case before any decision is taken.
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Q5. Please give details of what equality training is/will be provided for decision makers? If the
decision-maker(s) has not had any equality training, s/he should be encouraged to complete the
University’s equality and diversity online training programme.
Training is important because it identifies the implications of not complying with legislation and
outlines the benefits of doing so.
Line Managers can take part in Equality and Diversity online training and disability awareness training
however, currently neither of these training courses are mandatory.
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? You can get support and
guidance from Equality and Diversity on equality monitoring by emailing diversity@essex.ac.uk.
The policy will be reviewed annually or sooner if significant changes are required, taking account of
any reported adverse effect on those with a particular protected characteristic.
Q7. Referring to Q6 above, have you identified any positive or negative impact on any group of
people who share a protected characteristic? E.g. the policy means that some groups of people
are charged for a service and others aren’t. Please answer Yes or No. If yes, what, if anything, has
been/will be done about this?
N/A
Q8. Have there been any complaints or issues raised about the policy in relation to its effect
on people who share a protected characteristic? Please answer Yes or No. If yes, please expand.
N/A
Q9. Are there any (further) measures that could be taken to continue to ensure the policy is
neither directly nor indirectly discriminatory? e.g. additional data collection/monitoring or
training. Please answer Yes or No. If yes, please expand.
Yes – training on the procedure could be given to Heads of Departments
Q10. Have you identified any ways in which the policy does, or could advance equality or
foster good relations between different groups of people? Please answer Yes or No. If yes,
please expand.
N/A
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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
Disciplinary Procedure (Support Staff Grades 16) – updated procedure.
No further consideration required at present.
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?
1. Review the policy in February 2015 or sooner
if significant changes are required, taking
account of any reported adverse effect on those
with a particular protected characteristic. (Q6).
2. Heads of Departments and other decision
makers (as listed Q3) should be briefed on the
requirements listed in the second paragraph of
the answer to Q4.
3. Line Managers should complete Equality and
Diversity (E&D) online training and disability
awareness training. E&D on line training is
available for all staff and will become compulsory
for new staff 2012 and all staff 2013. Disability
Awareness training is available each term at
Colchester and Southend.
4. The Equality and Diversity Policy Statement
2011 should be included in the policy
Date:
22 February 2012
Signed
Syd Kent
Equality and Diversity Officer.
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