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DIVERSITY IN THE PUBLIC APPOINTMENTS PROCESS IN SCOTLAND

SECTION SIX CONCLUSIONS AND RECOMMENDATIONS

6.1 It is recognised that many of the issues which have been identified in the previous sections affect a range of under-represented groups (although some of the issues may have a greater impact on some groups than others ²²). Additional groups such as: LGBT people; religious bodies/faith groups; people with lower levels of formal education and people experiencing material deprivation (and, by implication, people in some social class groupings) may be under-represented in public appointments. Groups within under-represented groups (such as women from minority ethnic groups, older women etc.) may also face specific barriers. Addressing the issues raised in this report is likely to benefit many potential participants in public appointments.

6.2 It is also important to emphasise that these conclusions and recommendations are based upon positive suggestions for further improvement of the public appointments process, rather than upon specific criticisms of its current operation.

THE OVERALL PICTURE

6.3 The overall picture from the research findings is of a public appointments process which generally operates using established recruitment procedures. Many of those who are directly involved in the process consider that, as a means of recruitment, the mechanisms function smoothly overall, with a largely shared understanding of participants' general roles in the process (although there were some variations in practice in individual rounds).

6.4 The picture in relation to addressing diversity/equality is less straightforward. While most respondents viewed equality and diversity as important, it was not always clear how this translated into specific action in some appointments rounds, with variations in the extent to which teams implemented the "spirit ²³" of the guidance. There was found to be variation in staff understanding; the extent of recognition of the barriers to equality/diversity; actions taken to address these issues (and views of actions needed) and candidates' experiences, with no systematic means of "equality proofing" each stage of the process.

6.5 Although the PAT is responsible for the overall policy direction (including the promotion of diversity), the actions taken are dependent to an extent on individual, semi-autonomous teams. (This is common in the promotion of equality in many organisations, highlighting the need for a common understanding of the issues.) Although guidance is provided, this currently has limited information relating to equality/diversity issues and it was always intended that this would be updated following the completion of this research. More recent changes involving the central scrutiny of materials by the team should reduce the opportunity for inconsistency.

6.6 At the time of the research, however, some variations were highlighted, and examples were given of ways in which each stage of the process might potentially deter under-represented groups, as well as many examples of good practice in addressing the barriers. There were also examples of developments across all of the rounds by the PAT, which are likely to have a further impact on practice in the future. There is a clear overall commitment in the Scottish Executive to these issues and a commitment amongst the PAT to identify, promote and sustain good practice, supported by the Equality Unit.

6.7 The purpose of this report has been to provide further insight into ways in which existing good practice (and perceived barriers) can build upon work which has already been undertaken to continue to develop the focus on diversity issues. The recommendations can be used to reinforce practice in teams where the issues are already being addressed, and to develop practice where there is currently less recognition of the actions required.

DEVELOPMENT OF GOOD PRACTICE

6.8 There are a number of key principles on which the recommendations are based, reflecting respondents' perceptions of best practice. Underpinning these recommendations is a recognition of the need for the following in the public appointments process:

• Transparency, openness and scrutiny.
• Fairness, objectivity, consistency and independence.
• Equality, understanding of equality and best practice.
• Continued appointment on merit.
• Positive action to promote diversity.

6.9 It is recognised that there will be different considerations for different appointments rounds. In some cases, for example, there may be a need for particular skills or qualifications. There may also be variations in the processes required for upper and lower tier organisations, and the level of action which is required (recognising the requirement for proportionality). While the process must take account of these requirements, the key issue must be to ensure that, throughout appointments rounds, attention is paid to good equalities practice. The specific requirements of different rounds should not be considered incompatible with this.

6.10 It is also acknowledged that increasing diversity will require some developments which are outwith the public appointments process, to increase the number of appropriately skilled people from under-represented groups, and these developments will have implications for other organisations. Additionally, some of the suggestions are already in place or are planned in the Scottish Executive and NDPBs. There is also considerable material in existing literature, and although examples have not been cited individually, a list of the most relevant publications is provided in Annex 2. It has also been noted that the PAT guidance (and some procedures) changed while this research was being undertaken, and these developments (along with other actions) are also addressing some of the recommendations.

6.11 It is also recognised that some of the recommendations will have cost/staffing implications. These are clearly issues for further consideration in the development of the strategy, although it should also be noted that many actions can be undertaken at little or no additional cost.

6.12 The benefit of drawing all of these good practice suggestions together in the recommendations of this report is to highlight the most appropriate approach to public appointments at all stages, and to use this to guide future actions. It is suggested that the following recommendations should be considered.

RECOMMENDATIONS

6.13 In order to promote a shared understanding of equalities issues and a consistent approach, the key recommendations are as follows:

Recommendation 1: The diversity strategy to be drawn up by CPAS should reflect the issues raised in this report.

6.14 The research has collected a wealth of information, based upon the expertise of those involved in conducting public appointments, those with specific knowledge of equalities issues and candidates themselves. This should form the basis of the diversity strategy.

Recommendation 2: Training should be provided to all of those involved in the public appointments process.

6.15 All of those involved in public appointments, at all levels, should be required to have participated in equality training prior to their involvement, and this should cover recruitment practices and equalities issues. A number of suggested areas have emerged which might be included in the training, such as: general principles of equality (including positive action/positive discrimination); equality awareness; relevant legislation; recruitment issues (including the guaranteed interview scheme); the roles and responsibilities of participants in promoting diversity (and the implications for specialised posts and lower/higher tier organisations); current under-representation; barriers to participation and the means of translating a commitment to equality into practice.

Recommendation 3: A good practice checklist to encourage equality in the public appointments process should be prepared and used by all participants.

6.16 Whilst the limitations are recognised, a checklist should be prepared to ensure that the teams consider all of the potential barriers and identify any steps taken to address these. The checklist should supplement the guidance provided to sponsor teams (which should be updated), but should also be accompanied by specific explanatory material. A draft checklist is provided in this section as a starting point for development. Further consultation on this should be undertaken.

6.17 Once the checklist has been agreed, this should be used by all of those involved in the process. Although it is recognised that different appointments will have different requirements, the checklist provides the basis of good equalities practice, and the actions contained therein should be used to guide the actions taken. In any cases where an identified action will not be followed, it is suggested that teams should be required to discuss this with the PAT, which should advise on best practice for that team's specific circumstances.

Recommendation 4: The role of all participants in the promotion of equality in the public appointments process should be identified and clarified with them.

6.18 There is a need to identify ways to re-emphasise to participants the importance of the commitment to diversity in the processes which they implement and their role and responsibilities. Steps should be taken to ensure that these responsibilities are reflected consistently in practice, and that participants in the process share a commitment to these issues. (For example, by considering whether there is a need to review or strengthen the role of specific participants such as Independent Assessors, by requiring them to provide a short "review" of equality and diversity issues after each round and to "sign off" the equality checklist).

Recommendation 5: Good practice information should be reviewed, shared and updated regularly.

6.19 The content of the training and guidance should be evaluated and reviewed regularly and updated as required. Additional methods of disseminating good practice information to those involved in making public appointments (such as regular information-sharing) should be identified and implemented.

Recommendation 6: The PAT should continue to take an overview of practice and should provide advice and support based on good practice identified in this report.

6.20 The PAT will have a key role as the diversity strategy is developed and implemented and this should be recognised in the processes developed. Scrutiny of all documents used (as is currently the case) should continue, and this should always include a specific focus on equalities issues (taking advice from the Equality Unit as required). The PAT should also develop the explanatory material to accompany the good practice checklist.

Recommendation 7: Document templates should be updated in consultation with equalities organisations and should be reviewed regularly.

6.21 The role and person specifications, advertisements, application and monitoring forms should all be reconsidered in the light of the findings of this report, and updated as necessary. Consideration should be given to suggestions such as: the provision of explanatory material to candidates to accompany the application forms; ending the use of CVs; offering candidates the opportunity to provide non-career information; separating the equality monitoring form; considering the categories used and adding new categories relating, for example, to sexual orientation, age, religion/faith and any other appropriate criteria. Although it would not be feasible to consult on the tools used in each individual round, sample documents could be passed to the Equality Unit and specialist organisations for comment as new templates are prepared.

Recommendation 8: The PAT should continue to develop links/contacts with specific equalities groups and the Equality Unit.

6.22 The PAT circulation list of organisations of and for particular under-represented groups should be updated regularly, taking advice from the Equality Unit and specialist organisations about additional organisations for inclusion, the capacity of organisations to participate and their representativeness. Outreach work can also be undertaken to make specific links with specialist organisations and key individuals, and nominations should be sought actively in conjunction with these organisations. Information about forthcoming appointments should be circulated to organisations in advance of the advertisement, allowing sufficient time for broader circulation (with the provision of additional qualifying information as required).

Recommendation 9: Other work to overcome other contextual and cultural barriers to participation in public appointments should be undertaken.

6.23 Other relevant organisations should be encouraged to take actions to remove barriers to participation in public appointments and should be made aware of the findings of this report, stressing the need for:

• General awareness-raising about public appointments, with: work in educational settings; information in the press and other media; specific work with groups; publicity through fairs, roadshows and other imaginative events; the use of targeted and appropriate awareness-raising.
• Increased opportunities for appropriately skilled members of under-represented groups; increased visibility of appointees from under-represented groups (with positive examples of good practice); increased and proactive engagement and consultation with under-represented groups.
• Development throughout organisations of good practice in equality, ensuring appropriate training for staff and other representatives and the development of new ways of decision making, with good practice information provided to NDPBs and implementation monitored.
• Capacity building, including: NDPB shadowing; training for people with an interest in public appointments; more general training to encourage other forms of community participation; role models and supported mentoring; provision of induction training and ongoing support and other capacity-building initiatives, events and materials.
• Identification of financial barriers and provision to ensure that people in a range of circumstances can take up public appointments.

Recommendation 10: The use of monitoring information should be developed further.

6.24 Monitoring information should be gathered systematically and collated centrally, with feedback provided to NDPBs and Independent Assessors. The application and success rate amongst under-represented groups should be monitored and the information published, with analysis of changing trends and more detailed information about the situation for specific groups. This information, alongside further consultation with the groups, can then be used to identify the ongoing need for initiatives to promote diversity in public appointments and should form the basis of further action.

6.25 Those appointments processes which have been found to have had positive results can then identify successful elements from which lessons can be learned for the future and this should be sought and disseminated amongst sponsor teams, Independent Assessors and NDPBs. The Commissioner for Public Appointments in Scotland and Scottish Ministers should set new targets for under-represented groups, based on an appropriate baseline and consultation with under-represented groups, and should link these targets to actions within the diversity strategy. Organisations should also be encouraged to set their own targets for diversity in their composition and should include details of these in their annual reports and publicity.

Recommendation 11: The public appointments process and the diversity strategy should be reviewed regularly.

6.26 Developments to promote diversity in public appointments (and the diversity strategy, when this is prepared) should be evaluated and reviewed regularly, with the findings used to inform future work. Links to other policy/legislative developments (such as the Race Relations [Amendment] Act 2000) should be explored and the responsibilities of those involved in public appointments in relation to such developments should be specified (such as, for example, the role of the new CPAS in relation to the new duties under the RRAA). Progress should be scrutinised and regular reports prepared.

THE WAY FORWARD

6.27 All of these suggestions can be taken into account in the improvement of existing processes and the development of the diversity strategy in the future and will help to inform the work of the CPAS and the Public Appointments Team. It is important that this research is seen to be a starting point for the strategy. The views of organisations of and for under-represented groups should continue to inform the work which develops, as it is those who are excluded from the process who are perhaps best placed to identify the barriers which they face. It is suggested that, in taking this work forward, there should be a clear engagement with under-represented groups, in the overall context of strengthening consultation.

6.28 The draft checklist is provided overleaf.

DRAFT CHECKLIST FOR PROMOTING DIVERSITY IN PUBLIC APPOINTMENTS

This checklist is designed to ensure that practice in the public appointments process takes account of the potential barriers to equality for under-represented groups ²⁴. It is based upon the recognition that the process does not currently always take account of the needs and experiences of groups such as people from minority ethnic groups, disabled people, women, young people (under 25), people from outwith the central belt and others, and may introduce barriers to their participation. While the checklist is not exhaustive, the actions detailed below will assist in ensuring that common barriers are recognised and addressed.

It should be noted that this checklist is in draft, and should be discussed further by the Scottish Executive and expert organisations. It may be subject to further amendment in the future, in order to ensure its consistency with other relevant mainstreaming and equalities work which develops.

This list should be used at all stages of the process, and each of the actions should be checked and ticked when they have been undertaken.

PREPARATION

ROLE AND PERSON SPECIFICATIONS/OTHER MATERIAL

ADVERTISING AND PUBLICITY

SELECTION

FEEDBACK

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