Equality Impact Assessment - Disciplinary policy and procedure

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1 - Scope

1.1 List the main policy aims / outcomes, who benefits and how

• This policy and procedure sets out expectations of employee conduct and ensures any disciplinary matters are managed fairly and consistently, in line with legislation.

1.2 What data / research / evidence is available which is relevant to this equality impact assessment (EIA)?

• Case tracker figures are available for April 2009 – April 2010 – however they may not accurately represent the full picture as at the start of the year (as Unitary took place) some teams were not able to fully use the case tracker.

1.3 Is there further data or information you think would be useful in carrying out this assessment?

• It was pointed out that case tracker will not always capture minor issues which are sorted out informally as these are not likely to be recorded by human resources (HR).
• The figures need to be put into context, showing how they compare to workforce totals.  Also need to be able to see by department, outcome and agree who will review these figures on an ongoing basis and agree how they will be equality monitored going forward.
• Initially agreed to come up with a template for these reports and then review 6 months after policies go live.

2 - Consultation

2.1 Which groups were consulted when preparing the policy / EIA?

• Staff Disability Forum
• Black and Minority Ethnic (BME) staff forum
• JCC (Unions)
• Legal team
• Stakeholder panel
• Equal Chances, Better Lives
• HR advisors, scenario planning took place on 19 October 2010

2.2 Is further consultation required? If so detail below and add to action plan

• No

3 - Assessing impact and strengthening the policy

3.1 Using data collected (1.2) and information gathered from consultation (2.1) what implications might this policy have on equality?

• Figures are inconclusive about whether any equality groups are likely to be more affected by this policy. Will need to improve equality monitoring going forward (see 1.3).

3.2 How will the policy affect different groups of staff?

Group	How affected (positive or negative)	Any actions required (add to action plan)
All	Manager investigating the case may have prejudice against a particular individual due to their protected characteristic	There will always be an independent manager hearing the case, the opportunity to appeal.  HR role is to ensure consistency and flag any problems with investigation.
Literacy issues, some disability groups, English as second language	Accessing the policy, understanding letters, being able to respond to allegations	Need to outline in guidance the support available. Need to highlight within policy (in section about who attends the hearing) that people can bring support worker, interpreter etc.

3.3 Is there anything which could be included in the policy to help promote equality of opportunity and good staff relations or eliminate discrimination, harassment or unfair treatment?

• Check with occupational health whether the wellbeing helpline is a textphone number
• Include the need to consider whether a protected characteristic could have played a part in the alleged misconduct. Give examples within the Equal Opportunities guidance document – e.g. hearing impaired employee finds it hard to communicate – complaint raised as perceived as threatening or rude behaviour.
• Ensure it is clear that reasonable adjustments should be made due to any protected characteristic – not just disability.

3.4 Do any of your recommended actions address any negative effects on one group of staff impact on any other groups? If so what actions could be taken to mitigate this?

• Not applicable

3.5 Is there anything that can be done to improve accessibility and understanding of the policy amongst staff?

• Training on policy for managers – include information about how to deal with employees wanting to call witnesses etc.
• Ensure support is offered as required to staff in terms of accessing and understanding the policy.

4 - Summary

4.1 Will the policy meet the council’s responsibilities in relation to equality and human rights?

• Yes – with changes highlighted in the action plan

4.2 Have you identified anything through this EIA which should be more widely adopted in other policies or built into planning/strategy work?

• Need to carefully consider how case tracker is used, what reports will be helpful and how these reports will be analysed and by whom.

5 - Action plan

Section of EIA	Actions	Target date	Review date	Responsible postholder
1.4 – Further research required	Review figures 6 months after policies go live to identify and equality issues (see action in 4.2)	1 June 2011	1 July 2011	HR Business partners with Head of Corporate Personnel
3.2 – Mitigating negative impact on different groups of staff	Preventing prejudice - ensure investigating managers are trained on the importance of keeping the information confidential from the manager hearing the case until the hearing. This ensures an objective view. HR role to ensure that investigation reports are fully completed (i.e. do not make a judgement without evidence) and that outcomes are consistent across departments and the council. Access – outline in guidance the support available. Need to highlight within policy (in section about who attends the hearing) that people can bring support worker, interpreter etc	1 January 2011 Ongoing 24 November 2010	1 February 2011 Ongoing 1 December 2010	HR Transformation People Strand – HR Business Partner HR business partners HR Policy Officer
3.3 – Promoting equality of opportunity / good relations	Include need to consider whether a protected characteristic could have played a part in the misconduct. Give examples within the Equal Opportunities guidance document – e.g. hearing impaired employee finds it hard to communicate – complaint raised as perceived as threatening or rude behaviour. Also need to make reasonable adjustments for any protected characteristic – not just disability Check with occupational health whether the wellbeing helpline is a text type number	24 November 2010	1 January 2011	HR Policy Officer
3.5 – Improving accessibility / understanding	Training on policy for managers – include information about how to deal with employees wanting to call witnesses etc.	1 November 2010	1 January 2011	HR Transformation People Strand - HR Business Partner
4.2 – Wider adoption	Template for case tracker reports to be produced and agreed taking into account: Workforce context Breakdown by department Outcomes of procedure Agree how (and by whom) these figures will be analysed, monitored and used and how any equality issues be taken forward	1 January 2011	1 February 2011	HR Policy team to create template. MI team to review whether these can be produced from current case tracker or whether it needs to be adjusted.

6 - Sign Off

This policy has been fully assessed in relation to its potential effects on equality and all relevant concerns have been addressed:

• Quality sign-off - Equality and Diversity Partner – 3 December 2010
• Director level sign off - Service Director, HR and Organisational Development - 3 December 2010

Last updated: 18 April 2011