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
Capability/Performance Procedure
(Support Staff Grades 1-6)
Web address of policy
The policy will be posted on the Human Resources
web site once it has been approved
http://www.essex.ac.uk/personnel/Pol&Proc/default.htm
Policy-holding Department/Section
Human Resources
Is this a new or existing policy?
New
Date assessment completed
26 June 2012
Name and job title of person completing
pro-forma
Julia Greenwood, HR Officer
Q1. What is the purpose of the policy? Please explain in no more than 50 words.
This policy outlines guidelines for managers and staff in relation to the practice and procedure that
should be used in the case of managing staff capability and performance.
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. Any member of staff identified by their immediate supervisor/line manager as not having
achieved or maintained required standards of performance.
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.
Responsible persons:
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 Line managers/supervisors
 Heads of Department, Section, Faculty, Centre or School
 Pro Vice Chancellors
 Registrar and secretary
 Director of Human Resources
 Senior members of University staff
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?
All staff will be informed of this new procedure by Human Resources.

Some discretion may be exercised by those responsible for making decisions, particularly
when taking informal action, but they should act with reference to the Capability/Performance
Procedure.
Heads of Departments are asked to:
 Treat staff fairly and consistently
 Regularly review the performance of the staff they manage, giving timely feedback, and
providing support, training and resources as appropriate
 Resolve performance concerns informally between the member of staff and their line
manager where possible.
 Consult an HR Manager/Officer before taking action under the capability procedure
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?
No, however no records are kept.
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.
Not to my knowledge at the date of writing.
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 and records of those who use
the Capability/Performance procedure could be kept.
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.
Yes, it may be advisable to include the University Equality and Diversity Policy Statement within the
procedure.
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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:



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
Capability/Performance Procedure (Support Staff
Grades 1-6)
Should this EIA be referred on to the Equality
and Diversity Committee for further
consideration?
No further consideration required at present.
Could be considered for referral again by
Equality and Diversity after annual review (Q6)
If no, what recommendations, if any, should
be made to the Policy-holding
Department/Section?
1. The equality profile of all staff who enter the
formal stages of the procedure should be
recorded (Q7, Q9).
2. The policy should be reviewed annually or
sooner if significant changes are required, taking
account of any reported adverse effect on those
with a particular protected characteristic. This
review should be submitted to Equality and
Diversity for consideration (Q6).
3. Heads of Departments and other decision
makers (as listed Q3) should be briefed on the
requirements listed at Q4.
4. 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 later in 2012 and for all staff in 2013.
Disability Awareness training is available each
term at Colchester and Southend.
5. The University’s Equality and Diversity Policy
Statement should be included within this
procedure.
Date:
17 July 2012
Signed
Karen Bush
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