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
Annual Review for Academic and Research Staff
Policy-holding Department/Section
Human Resources
Date assessment completed
27 January 2011
Name and job title of person completing proforma
Karen Bush
Q1. What is the purpose of the policy? Please explain in no more than 50 words.
To provide a process for academic and research staff to apply for permanency/early permanency,
additional/discretionary increments and promotion up to, and including, Professor.
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.
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. Members of Academic Staffing Committee. Members of Professorships Committee. Senior Staff
in Departments
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?
Decisions are arrived at by comparing the evidence submitted by the individual, the senior staff in
their Department, and in some cases, by external experts, against the criteria listed in the Annual
Review procedures. If members of the Committee agree the individual has met the criteria for
permanency or promotion, then this is granted. Feedback is given to all unsuccessful candidates for
permanency or promotion.
For additional/discretionary increments, Departments have a maximum number they are permitted to
submit. If there are more applications than the quota, the senior staff in the Department have to agree
which applications will be put forward for consideration. Faculty Pro-Vice Chancellors suggest a
maximum number of increments to be awarded within their Faculty, then Academic Staffing
Committee make decisions based on the evidence provided by the individual and the Department as
to who is successful and who is not.
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.
There is no requirement for Academic Staffing Committee or Professorships Committee members to
have undergone any specific equality training. The Committee Secretary briefs all new members on
the procedures.
Recommend all Committee members who have not completed the University’s online equality and
diversity training to do so as soon as possible.
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 [email protected]
No formal monitoring of applications and outcomes currently takes place.
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?
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.
Yes, on recent applicant was concerned about possible age discrimination but no formal complaint
was raised.
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.
Monitoring by protected characteristic of applications and outcomes.
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.
Please now email the completed form to [email protected] The Equality and Diversity
Committee (EADC) have responsibility for overseeing the completion of EIAs. This form will be
submitted to the EADC who have the option to require a more detailed assessment be carried out.