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
Conducting Formal Investigations (Guidance Note for
Managers)
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
9 July 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.
These Guidelines outline information for managers in relation to the practice and procedure that
should be used when conducting formal investigations. Normally these Guidance notes would be
used in connection with HR related investigations such as those in connection with disciplinary,
capability and grievance matters.
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. Investigations may be required in the following circumstances:
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allegations of misconduct;
allegations of bullying/harassment;
dealing with employee grievances;
dealing with employee capability issues.
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Any member of University staff could potentially be the subject of an investigation.
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:
 Investigating Officers (appointed by the Head of Department/Section in conjunction with the link
HR Manager/Officer)
 Line managers/supervisors
 Heads of Department, Section, Faculty, Centre or School
 Pro Vice Chancellors
 Registrar and secretary
 Human Resources staff
 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?
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Some discretion may be exercised by those responsible for making decisions but they should
act with reference to the Guidelines.
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The Guidelines provide a framework for carrying out any internal formal investigation process,
relating to staff, fairly and consistently.
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 Guidelines 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 Guidelines could be given to Heads of Departments and records of those who are
the subject of an investigation 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.
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Yes, it may be advisable to include the University’s Equality and Diversity Policy Statement within the
document.
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
Conducting Formal Investigations (Guidance Note for
Managers)
Should this EIA be referred on to
the Equality and Diversity
Committee for further
consideration?
No further consideration required at present. Should be
considered for referral again by Equality and Diversity after
annual review (Q6)
If no, what recommendations, if
any, should be made to the Policyholding Department/Section?
1. The equality profile of all staff who are the subject of
formal investigation should be recorded (Q7, Q9).
2. The guidelines should include a section detailing what
happens to the report (including the appendices) once it has
been written. In cases of harassment or bullying in
particular, consideration should be given as to whether it is
appropriate for the individual who is the subject of the
investigation to receive copies of the witness statements.
3. Any individual who is the subject of a formal investigation
should be made aware of these guidelines.
4. The guidelines 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).
5. Heads of Departments and other decision makers (as
listed Q3) should be briefed on the guidelines prior to
conducting a formal investigation.
6. 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.
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7. 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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