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University of Cumbria
TOOL KIT FOR CONDUCTING EQUALITY ANALYSIS
1. Introduction
This tool kit of guidance and accompanying pro forma have been devised in order to assist
faculties, services and University staff to undertake Equality Analysis and to embed the
Equality Analysis process into the University’s Corporate Planning processes.
In preparing this guidance, the University wishes to acknowledge reference to the HEFCE /
ECU (Equality Challenge Unit) guide to Good Practice on Conducting Impact Assessments for
Equal Opportunities in Higher Education (October 2004/37) which can be found on the
HEFCE and ECU websites. Many of the definitions, forms, charts and guidance derive
directly from this document.
2. Definition of Equality Analysis
An Equality Analysis in this context is defined as:
A detailed and systematic analysis of the potential or actual effects of a policy or
practice, provision or criterion to ascertain whether it has a differential impact on
identifiable groups of people.
An Equality Analysis is a comprehensive review of a policy or procedure to assess the impact
on people from different groups. By conducting an Equality Analysis, the University can
monitor data and consult people from different groups identifying barriers and issues which
present opportunities to mitigate adverse impact or to promote equality and service provision.
3. Business and Legislative Context
The University, in line with its mission, is committed to equality, diversity and inclusion,
recognising the business benefits it can bring. A key means of promoting and celebrating
equality and diversity is through carrying out Equality Analysis on institutional policies and
practices / activities and taking follow up action.
There is also a legal requirement on the University to under take Equality Analysis in terms of
race, disability, gender and age. This will extend to religion or belief (or lack of belief),
pregnancy and maternity, marriage / civil partnership, gender re-assignment and sexual
orientation from 2010. The University undertakes Equality Analysis on all nine areas (where
data is available to support the analysis), in line with good practice.
4. The Corporate Fit
As an integral part of policy making, Equality Analysis should be mainstreamed into an
institution’s procedures and should begin as soon as a relevant new activity, policy or practice
is considered.
Equality Analysis are not one-off exercises but should be incorporated into a (three-year)
cycle of institutional review. They should also take place when a new policy is being
considered or an existing one reviewed.
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Equality Analysis can be viewed as a quality control mechanism by which the University can
evaluate its activities and best meet the needs of its stakeholders. They can be linked to other
processes through which an institution reviews and evaluates its work (e.g. AERs).
As part of mainstreaming, the Equality Analysis process links directly with the University’s
Corporate planning process. Therefore, faculties and services are required to consider and
report to the executive committees (as appropriate) on an annual basis the following:
The outcomes of Equality Analysis actions taken by the faculty / service during
the previous year;
The intended Equality Analysis actions for the forthcoming year for inclusion in
the faculty / service yearly action plan.
5. Outline of the Equality Analysis Process
The outline steps involved in the Equality Analysis process (Appendix 1).
A visual guide to conducting an Equality Analysis is summarised in 7 stages (Appendix 2).
6. Conducting Equality Analysis
To assist faculties and service to undertake impact assessments the following are attached:
Equality Analysis Mapping Guide (Appendix 3)
Timetable for Equality Analysis (Appendix 4)
Equality Analysis Checklist (Appendix 5)
Screening Forms (Appendix 6)
Curriculum review document (Appendix 7)
7. Any Questions and further support and training?
Training is run in completing Equality Analysis. If you wish to book on a course or if you have
any questions on the Equality Analysis process, please contact Jane Barker, LISS Manager
(Equality, Diversity and Inclusion policy).
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Appendix 1
University of Cumbria
Outline of steps involved in the Equality Analysis process
Action By Whom
1. At institutional level, map out all policies and practices Individual Faculties and Services in
delegating where necessary to ensure thorough and conjunction with VCO (refer
systematic coverage of all institutional functions. Appendix 3)
2. Screen policies to determine equality relevance and Individual Faculties and Services
decide priorities on the basis of relevance and
proportionality (i.e. focus on policies which have the
greatest relevance and impact on equality and diversity).
3. Use local and national data and consultations to Individual Faculties and Services
ascertain if the policy or practice has an unjustified
negative impact on any particular group*.
4. Where negative or adverse impact is found (i.e. one or Individual Faculties and Services
more groups are disadvantaged by the policy), decide
and implement action plan to eliminate it.
5. Compile a report (detailing the reasons for the Individual Faculties and Services
assessment, the results of consultation and any changes
to the policy as a result) and publicise it within the
institution so that staff and students are aware or any
changes that have been made.
6. Monitor and make results of assessments available for To be determined
internal and external stakeholders.
7. Report to the Strategic Delivery Panel on an annual Individual Faculties and Services
basis the following:
The outcomes of impact assessments actions
taken by the faculty / service during the previous
year;
The intended impact assessment actions for the
forthcoming year for inclusion in the faculty /
service yearly action plan.
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SEVEN STAGES TO EQUALITY ANALYSIS SUCCESS Appendix 2
Key
1. Identify
Consultation No
aims of Review
policy. Is it End of in future
equality process
Decision relevant?
Action
Yes
2. Analyse
available data.
Collect further
data if necessary.
3. Assess
impact of No adverse Publish
policy impact. results
and review
End of in future
process
Adverse impact
shown
4. Mitigate
adverse impact.
Consider other
ways of achieving
same aims
5. Consult on
final policy
7. Monitor for
6. Publish impact
adverse impact in
assessment and
the future and
findings
publish results
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Appendix 3
University of Cumbria
Equality Analysis mapping exercise
This exercise divided institutional policy areas into the following ten strands of institutional policy and
sub-sections. Faculties / Services may find this helpful when undertaking their own mapping exercises.
Academic planning and strategy
Teaching and Learning; Academic Services; Student Skills; Course Approval; Management and
Regulatory Framework; E-learning; Short Courses; Professional Development; Language for teaching;
Student recruitment and admissions; Examinations and Assessments; Appointment of Examiners;
Annual Academic Planning; Widening Access and Participation; International Students; Student
Complaints and Appeals; Scholarships and Awards; Student Prizes; Standard Prizes; Standard
Assurance and Quality Management. The Curriculum Review document (Appendix 7) will support such
activities above.
Research strategy
Research and Development; Selection and Monitoring of Staff as Researchers; Allocation of Support for
Research; Prioritisation of Research Areas for Support and Development; Selection and Admission of
Research Students; Administration of Research Funding.
Regional Strategy and Development
Regional Development and Regional Activities; Conflict of interest; Intellectual Property; Consultancy.
Information and IT Services
Information Access; Acceptable IT use; Information Security; Data Protection.
Communications and Public Affairs
Publications and Printed Materials; Event Management; Community Outreach/Access; Advertising; Press
Relations/Communications; Website Development.
Estates Services
Estates Services; Car Parking; Consultant Contractor Procurement; Key Staff/Students with Dependants
Housing Allocation; Room/Venue Bookings/Allocation; Physical Access for People with a Disability.
LISS
Library Services and Collection Development; Student Services; Accommodation Provision; Childcare
Provision; Student Discipline; Misuse of Alcohol, Substances and Drugs; Students with a Disability;
Clubs and Societies; Catering Services; Health Services; Student Support; Careers Advice; Counselling;
Sports and Recreation; Students’ Union/Association Representation.
Human Resources
Equal Opportunities; Harassment and Bullying; Facilities and Time-off Arrangements; Sabbatical Leave;
Family Friendly Suite; Staff Recruitment and Selection; Visiting Professorships; Job Evaluation; Staff Pay
and Reward; Annual Review; Occupational Sick Pay; Academic Promotions; Payment of Salaries and
Wages; Discretionary Pay/Accelerated Increments; Health and Safety; Alcohol, Drugs or Substance
Abuse; Staff Training and Development; Staff Appraisal; Employee Relations; Staff Grievances; Staff
Discipline; Redeployment.
Finance and Procurement
Purchasing/Procurement; Best Value; Purchasing Accountability; Financial Regulations; Risk
Management; Fraud; Finance; Student Funding; Payment of Student Fees; Research Fees; Pensions.
Other
Appointments to Council; Appointment to Honorary Academic Title.
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Appendix 4
University of Cumbria
Timetable for equality analysis
Policy __________________________________________________________
1. On a scale of high, medium or low assess the policy in terms of priorities for impact
assessment.
High
Medium
Low
Please indicate when you think this policy should be reviewed next:
Year _________
2. Is the Policy affected by a strategic planning document, for example Agenda for
Action, Institutional Plan, Strategic Development Plan? Yes No
Please elaborate:
3. Is the policy affected by the timetable established by other relevant public authorities
or organisations in relation to common functions? Yes No
Please elaborate:
4. Are there any particular resource implications incurred by the policy?
Preliminary screening by: Date:
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Appendix 5
University of Cumbria
Equality analysis checklist
Identifying policies and functions
Identify all formal and informal policies, practices, procedures and criteria within an
institution through a mapping exercise
Identification of the aims of a policy: the screening process
Identify aims of policy (practice, procedure or criterion)
Establish who is responsible for defining and implementing the policy
Determine if there is scope for promoting good relationships and equality of opportunity
within the policy
Give policy high, medium or low priority with regards to adversely impacting on equality
Consideration of data
Determine what you need to know about the policy to gauge if it has an adverse impact
on any groups
Examine national and local data sources and collect additional data if necessary
Use a mix of qualitative and quantitative data from a wide range of sources
Ensure research is reliable and valid
Consultation
Ensure a representative sample of people being consulted with specific measures for
equality target groups
Use a variety of accessible methods for consultation
Take into account issues of proportionality and relevance
Assessing impact
Determine if the policy has an adverse impact on equality of opportunity and equality
and diversity on basis of information gathered
Determine if the policy is directly or indirectly discriminatory and, if so, whether it is
justifiable
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Determine whether the policy promotes, or has the potential to promote, good race
relations and equality of opportunity
Eliminating or reducing adverse impacts
Investigate why there was adverse impact
Find measures that can reduce or eliminate the adverse impact
Provide clear reasons for changing policy and what you hope to achieve by any changes
Assess the proposed changes for any adverse impact
Publication of Equality Analysis
Compile equality impact assessment report and final decisions
Determine how much publicity is needed
Decide where and how to publicise
Equality Analysis in the future
Ensure mechanisms in place for regular equality impact assessment
Allocate responsibilities and put together a timescale for re-assessment
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Appendix 6
University of Cumbria Xxx activity
(proposal stage)
Equality Analysis (EA) Screening Form date
Author:
Undertaking an equality analysis (EA) is a legal requirement but is also promoted by the Equality
Challenge Unit (ECU) as a powerful instrument of positive change.
Within the University, for any new, or reviewed policy, procedure, strategy or activity which impacts on
people, the author needs to undertake an EA. This document is to be used to support the completion of an
EIA (as an aide memoire) and to report on completion of the EA.
The EA will consider the public sector equality duty under the Equality Act 2010, namely:
eliminate unlawful discrimination, harassment and victimisation and other conduct prohibited by the
Equality Act 2010;
advance equality of opportunity between people from different groups; and
foster good relations between people from different groups.
Based on the Government Equalities Office guidance (as cited in section A of this report), consideration
will be given to having due regard to the need to advance equality of opportunity involves:
remove or minimise disadvantages suffered by people due to their protected characteristics;
meet the needs of people with protected characteristics; and
encourage people with protected characteristics to participate in public life or in other activities
where their participation is low.
In addition the EIA will consider:
Negative aspects under each of the areas above
Positive aspects under each of the areas above
An effect analysis i.e. what could be changed or should be considered to meet the duty
Subject of Equality Analysis: Please as appropriate
New Policy/Procedure Activity *
Revised Policy/Procedure New Strategy Revised Strategy
*An Equality Analysis is required at the proposal stage, at an interim point and at the conclusion of
an activity (e.g. restructure – once a proposal is drawn up for consultation; on approval of proposal
for implementation; following implementation). Indicate below the status of this assessment if in
relation to an activity:
At proposal stage
At interim point / during implementation stage (prior to communicating to staff)
At conclusion / after implementation
Brief summary of the subject of the Equality Analysis
CONFIDENTIALITY
IS THIS PAPER EXEMPT FROM THE FREEDOM OF INFORMATION ACT 2000?
YES
If yes, please state reason for confidentiality Please For how long?
select (eg. Until approved
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one of and/or implemented by
the the committee or
following indefinitely)
1. Commercial interests - disclosure would prejudice the commercial interests of the
University, or any person or organisation
Until final approval
2. Information intended for future publication – the information is to be published at a Until final approval –
future date also external reporting as
appropriate as EIA
3. Personal Information – disclosure would be a breach of the Data Protection Act
4. Health and Safety – disclosure would endanger the physical or mental health, or the
safety of, any individual
5. Information provided in confidence – the paper contains information which was
obtained from another person, and its disclosure would constitute a breach of
confidence actionable in court.
EQUALITY ANALYSIS SCREENING FORM
1. Strategy / Policy / Activity (S/P/A) information
Name of Strategy / Policy / Activity
Name of Faculty / Service with lead
responsibility where appropriate
Name(s) of lead contact(s)
Date document written (authored date)
Which Committee(s) have considered
this S/P/A
What area of the University will this
S/P/A cover? (University
wide/Faculty/Service)
Who does this S/P/A impact upon? e.g. This EA is related to STAFF / STUDENTS / GOODS &
External partners, staff, students, SERVICES.
potential students / staff etc.
What data is there or should there be Staffing Data for UoC and x
made available to facilitate any equality
analysis of the S/P/A? Note: Data currently not available for Religion or Belief, Sexual
Orientation, Gender Reassignment, Pregnancy & Maternity and
Marriage/Civil Partnership.
Who have you consulted?
Has consultation been undertaken and
did it identify any potential problems
specific to them?
If Reviewing Policy or Strategy changes which do not have statistical data go to Q1
If reviewing statistical data also complete Q3 and 4
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1. Analysis of evidence
EA area for consideration Evidence available (negative) Evidence available (positive)
eliminate unlawful
discrimination, harassment
and victimisation and other
conduct prohibited by the
Equality Act 2010
advance equality of
opportunity between people
from different groups;
foster good relations between
people from different groups.
remove or minimise
disadvantages suffered by
people due to their protected
characteristics
meet the needs of people with
protected characteristics
encourage people with
protected characteristics to
participate in public life or in
other activities where their
participation is low
2. Equality enhancement evaluation
EA area for consideration Effect analysis (what could be changed or should be considered to meet the duty)
eliminate unlawful discrimination, harassment and
victimisation and other conduct prohibited by the
Equality Act 2010
advance equality of opportunity between people from
different groups;
foster good relations between people from different
groups.
remove or minimise disadvantages suffered by people
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due to their protected characteristics
meet the needs of people with protected
characteristics
encourage people with protected characteristics to
participate in public life or in other activities where
their participation is low
Statistical Data
The attached statistical data has been considered in support of completing the EA . This data is completed as fully as possible for each EA. Where
sensitive data results in possible identification of individuals, this data will remain confidential for data protection reasons and only shared on a need to
know basis.
3. USAGE (Statistical evidence)
Considering the statistical data, and based on initial investigation, will this S/P/A (or the intended actions of the S/P/A) potentially favour
any particular group in the way it is written?
YES NO UNKNOWN COMMENTS / EXPLANATION
Age
Disability
Gender
Racial Heritage
Gender Reassignment x No data available currently
Sexual Orientation x No data available currently
Religion & Belief (or lack of x No data available currently
Belief)
Pregnancy & Maternity x No data available currently
Marriage / Civil Partnership x No data available currently
4. ADVERSE IMPACT (Statistical evidence)
Considering the statistical data, will this S/P/A (or the intended actions of the S/P/A) potentially disadvantage any group?
YES NO UNKNOWN COMMENTS / EXPLANATION
Age
Disability
Gender
Racial Heritage
Gender Reassignment x No data available currently
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Sexual Orientation x No data available currently
Religion & Belief (or lack of x No data available currently
Belief)
Pregnancy & Maternity x No data available currently
Marriage / Civil Partnership x No data available currently
5. PROPOSED AMENDMENTS to address any possible adverse impact - By amending the document, can the Faculty / Service promote
equality of opportunity or community relations more effectively?
At Proposal stage only. Once consultation has been undertaken this question will be considered at the next EA activity.
6. POSITIVE ASPECTS - What positive aspects of this S/P/A have been identified through this equality analysis? How does the S/P/A
promote good working relationships between people?
At proposal stage only. Once consultation has been undertaken this question will be considered at the next EA activity.
7. FURTHER EQUALITY IMPACT ASSESSMENT – Is a further equality impact assessment recommended e.g. if there is a perceived adverse
impact? Yes
Further EA will be undertaken during implementation once information relating to individuals or confirmed actions / activities have been confirmed and
approved, following proposal stage consultation events.
8. If a periodic review of this S / P / A is to take place, what date should this activity be undertaken?
9. FURTHER CONSULTATION - Are there any relevant groups which you believe should be consulted to either complete this equality impact
assessment or for a further EIA?
Consultation will take place with staff, management and the trade unions in relation to this proposal. Discussions will also engage the local community (as
appropriate) and external parties as appropriate.
Completed by:
Name Date
Please copy this form to the following: Jane Barker, LISS Manager (Equality, Diversity & Inclusion policy)
Send to (as appropriate)for comment / note: HOFA, Dean of Faculty, Head of Service, Senior Management Team (including activity sponsor):
To whom sent (Any particular comments for note) Date sent
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Equality Analysis screening form
XXX activity - Proposal stage - Statistical Return Committee / Reference Number:
Total staff x headcount
EDI area University of Cumbria University of Cumbria No of staff proposed Comments
Staffing Base September Staffing Base affected @ Xxx activity
2011. Total number 1149
staff.
F/T Headcount of part-time: full Headcount of part-time: full x headcount are FT at Xxx x% of staff are full time at Xxx activity
time staff 325:824. 71% total time staff 577:756. 57% total activity x% of staff are full time at University of Cumbria
UoC staff FT UoC staff FT x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
are FT
P/T Headcount of part-time: full Headcount of part-time: full x headcount are PT at Xxx x% of staff are part time at Xxx activity
time staff 325:824. 29% total time staff 577:756. 43% total activity x% of staff are part time at UoC
UoC staff PT UoC staff PT x% of total Xxx activity staff No statistical significance. No adverse impact that could not be j
are PT
Male (or Headcount of female: male Headcount of part-time: full x headcount are male at x% of staff are male at Xxx activity
preferred UoC 774:375. 33% total Male time staff 577:756. 43% total Xxx activity x% of staff are male at UoC
known as) UoC staff UoC staff PT x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
are male
Female (or Headcount of female: male Headcount of female: male x headcount are female at x% of staff are female at Xxx activity
preferred UoC 774:375. 67% total UoC 896:437. 67% total Xxx activity x% of staff are female at UoC
known as) Female UoC staff Female UoC staff x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
are female
Age Headcount of staff in this age Headcount of staff in this age x headcount are under 29 x% of staff are aged under 29 at Xxx activity
under 29 bracket 87. 8% total at UoC bracket 117. 9% total at UoC x% of total Xxx activity staff 9% of staff are aged under 29 at UoC
Difference may be due to limited turnover, recruitment restriction
represented at the campus. Note: Demographic of Xxx activity is
student population. On initial investigation it would appear that t
adverse impact that could not be justified.
Age Headcount of staff in this age Headcount of staff in this age x headcount are in this age x% of staff are aged 30 – 39 at Xxx activity
30 – 39 bracket 258. 22% total at bracket 290. 22% total at bracket at Xxx activity 21% of staff are aged 30 – 39 at UoC
UoC UoC x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
Age Headcount of staff in this age Headcount of staff in this age x headcount are in this age x% of staff are aged 40 – 49 at Xxx activity
40 – 49 bracket 392. 34.5% total at bracket 459. 34% total at bracket at Xxx activity 34% of staff are aged 40 – 49 at UoC
UoC UoC x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
Age Headcount of staff in this age Headcount of staff in this age X headcount are in this age x% of staff are aged 50- 59 at Xxx activity
50 – 59 bracket 351. 30.5% total at bracket 405. 30% total at bracket at Xxx activity 30% of staff are aged 50- 59 at UoC
UoC UoC x% of total Xxx activity staff No statistical significance. No adverse impact that could not be ju
Age Headcount of staff in this age Headcount of staff in this age x headcount are in this age x% of staff are aged 60 or over at Xxx activity
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Equality Analysis screening form
EDI area University of Cumbria University of Cumbria No of staff proposed Comments
Staffing Base September Staffing Base affected @ Xxx activity
2011. Total number 1149
staff.
60 and Over bracket 61. 5% total at UoC bracket 62. 5% total at UoC bracket at Xxx activity 6% of staff are aged 60 or over at UoC
x% of total Xxx activity staff
Race Headcount of staff in this Headcount of staff in this x headcount are White at x% of staff are in this group at Xxx activity
White group 921. 80% total at UoC group 1099. 82% total at Xxx activity 81.2% of staff are in this group at UoC
UoC x% of total Xxx activity staff Difference may be due to ethnic demographic in the catchment a
Cumbria population declare White British as racial heritage). Th
the student population also. Difference may also be due to lack
racial heritage. On initial investigation it would appear that there
adverse impact that could not be justified.
Race Headcount of staff in this Headcount of staff in this x headcount are Black at 0% of staff are in this group at Xxx activity
Black group 22. group 23. 2% total at UoC Xxx activity 0.18% of staff are in this group at UoC
2% total at UoC x% of total Xxx activity staff No statistical significance. See comments in box (Race White) a
Race Headcount of staff in this Headcount of staff in this x headcount* are other race *x Mixed heritage declared and 14 have not declared information
Other / not group 206. 18% total at UoC group 211. 16% total at UoC or not known at Xxx activity x% of staff are in this group at Xxx activity
known x% of total Xxx activity staff 18.6% of staff are in this group at UoC
No statistical significance. See comments in box (Race White) a
Disability Headcount of staff in this Headcount of staff in this x headcount are disabled at x% of staff are in this group at Xxx activity
group 52. group 211. 16% total at UoC Xxx activity 4.2% of staff are in this group at UoC
4.5% total at UoC x% of total Xxx activity staff On initial investigation it would appear that there would be no ad
could not be justified.
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Equality Analysis screening form
Curriculum Review – for Academic course provision activities
Title of provision Person responsible for
the report
Subject area Date of review
Key Questions Examples
How does the course seek to incorporate the knowledge &
understanding brought to it by students from diverse backgrounds?
How are students given the opportunity to analyse and recognise their
own tacit knowledge and the influence of their experiences and cultural
identity?
How does the course make students aware of the global impacts of
professions related to the subject area?
What level of use does the course make of materials from outside the
‘traditional’ canon?
How does the course enable other knowledge / perspectives to be
recognised and valued?
How does the course enable students to develop wider perspectives and
respond positively to difference?
How are students given the opportunity to study particular issues of
diversity and equality within their mainstream study?
In what ways are students helped to examine their own values, compare
them with the values of others, and engage in respectful debate where
differences occur?
In what ways does the course enable students to confront hostile
discrimination?
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Equality Analysis screening form
Key Questions Examples
In what ways does the course seek to link issues of cross-cultural
capability, diversity and global responsibility to employability?
How does the course respond positively to and encourage different
learning cultures / needs?
How does the course encourage students to be curious beyond their
own cultural boundaries?
How does the course encourage different approaches to teaching?
How does the assessment of the course respond to different success
criteria?
Where assessment involves work placements, what attempts are made
to monitor and eliminate discrimination that might arise in the
workplace?
Does the organisation and scheduling of assessment take into account
diversity and difference?
How does a student on this course benefit from / contribute to the
broader social context?
How does a student on this course benefit from / contribute to the
broader educational culture?
How is a student from this course prepared to interact with / benefit from
/ contribute to diversity in the world beyond the University?
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