OFFICE INSPECTION
HUMAN RESOURCES DIVISION,
CROWN OFFICE
24 & 25 OCTOBER 2006
Background
In accordance with our Business Plan we are committed to regular audits of Offices to ensure compliance with race relations, policies and strategies.
To date our reports have concentrated on Area and District Offices but in this report we examine the operation of the Crown Office central function of Human Resources.
Methodology
The approach to this inspection was to look at the appropriate law in relation to Human Resources and race equality.
Background Law
The Race Relations (Amendment) Act 2000 introduced a statutory general duty to eliminate racial discrimination and to promote equal opportunities and good race relations.
In March 2002 the Scottish Parliament approved new specific duties designed to help many authorities to "better meet" the general duty. The intention behind the duties is that each authority should take steps to make real improvements to racial equality or race relations.
The specific duty covers 3 areas including the role of public authorities as employers. These requirements are contained in The Race Relations Act 1976 (Statutory Duties) (Scotland) Order 2002.
Article 5 of this Order requires relevant public authorities to have had in place (before 30 November 2002) arrangements for fulfilling as soon as reasonably practicable the monitoring duties listed below (and to go on to fulfil these duties).
- Monitoring, by reference to racial group, numbers of staff in post, applicants for employment, training and promotion.
- For those with 150 or more full time staff, additional monitoring of the numbers who -
- receive training
- benefit or suffer detriment as a result of performance assessment procedures
- are involved in grievance procedures
- are the subject of disciplinary procedures
- cease employment with the authority.
- Publishing annually the results of this monitoring.
A CRE publication, 'Ethnic Monitoring - A Guide for Public Authorities' provides a step-by-step guide to ethnic monitoring and related issues, including principles of ethnic monitoring, collection of the data required and subsequent analysis and interpretation of the data and so on.
The general principles of ethnic monitoring are stated (page 7) as :
Data Protection
You must take full account of the Data Protection Act 1998 when you collect, store, analyse and publish ethnic data
Monitoring is more than just data collection
You must regularly analyse and question the ethnic data, then follow up and tackle any barriers or failures it has highlighted".
Monitoring never stops
Monitoring is part of an ongoing process of analysis, asking questions, investigation and change. You even need to monitor the effects of any action you have taken, to see if improvements are being made.
Commitment from the top
Responsibility for monitoring should lie at senior levels, because this demonstrates, to both your staff and the public, that your authority is serious about race equality. Ideally this should be at board or member level as well as at senior executive level.
COPFS performance in relation to the monitoring duties
Taking each of the points in Article 5 above, in turn:
Monitoring, by reference to racial group, of numbers of staff in post
HR Division collects information on ethnicity of the COPFS workforce via a staff survey. A survey of staff ethnicity was done in 2001, which yielded a response rate of 80 per cent. A broader staff survey (also covering many other issues) was conducted in 2005, yielding a response rate of 60 per cent overall. The response rate in relation solely to the question on ethnicity was not available.
In terms of analysis of this information, a return is submitted quarterly to the Management Board, which includes information on gender, ethnicity and disability among other things. Informal trend analysis is done at this level.
In relation to collection and analysis of numbers of staff in post, the CRE guide recommends (amongst other things) that:
- Monitoring analysis should show the overall numbers (and proportions) of different ethnic groups in your workforce as a whole. Ideally it should also show the type of work they do, their grades and levels.
- The ethnic categories used in the 2001 census should be used to collect information from staff
- The data gathered should be as complete as possible - any analysis done will only be reliable if there is full information about the population
- Self-classification (i.e. by staff members) should be used wherever possible, supplemented by 'other-classification' (subjective classification by a line manager or similar) only as a last resort
- The ethnic data should be linked, via a unique reference number, to the individual; only authorised staff should be able to access the link between the unique identifier and the person's ethnic background
We found that:
The survey conducted by HR Division does utilise the 2001 census categories and the report submitted to the Management Board does show overall numbers (and proportions) of different ethnic groups in the workforce as a whole, as well as grade and type of work done. The ethnic data held in the HR KCS system is linked to the individual via a unique identifier, the staff number. The information is password protected and is accessed only by HR personnel staff. HR Training staff have limited access again through passwords on the training sections of the system. However, the response rate for the survey of staff ethnicity in 2001 and that for the ethnicity component of the 2005 staff survey (necessarily 60 per cent or less) both fall short of what would be considered as adequate for robust analysis in this respect, as defined by the CRE.
Monitoring, by reference to racial group, of the number of applicants for employment and promotion
Data on ethnicity of applicants for employment is collected via application forms. Information on ethnicity (and disability) is requested in a separate part of the application form, which makes clear that the information provided will be held separately from the actual application during processing and that the information will be treated confidentially and used only for monitoring purposes. At the time of our inspection the forms were held only in hard copy, hence a figure is not available in relation to the percentage of staff that supplied information on ethnicity. However, the information for 2006 has since been transferred to a spreadsheet and is now held electronically. The intention from 2007 is that the information for every recruitment and promotion will be recorded electronically (as well as stored hard copy) so that the data can be used to provide the required statistics.
Information in relation to the ethnicity of applicants for promotion can be obtained via the individual staff record on KCS. The department is seeking to streamline its recruitment processes as part of a review of the HR function, and when an e-HR application is acquired it should be possible to produce reports for the management board of ethnicity of applicants, directly from on-line applications.
In relation to collection and analysis of number of applicants for employment and promotion, the CRE guide recommends (amongst other things) that:
- Monitoring should show the overall numbers (and proportions) of applicants for jobs and promotion, according to their ethnic group.
In order to assess the effect that recruitment procedures and selection decisions may have on different groups, they also strongly advise:
- Comparison of proportions of applicants from minority ethnic backgrounds with the relevant benchmark data
- Analysis of the relative success rates for different groups of applicants and the significance of any differences that may be found
Consideration of the following may then be necessary:
- Differences in success rates at different stages in the selection process
- The reasons for rejection at each stage
Specifically in relation to applicants for promotion, they recommend that:
- Analysis should separate out internal and external applicants
They also suggest that workforce data could be analysed to assess:
- How many applications members of each ethnic group made before they were promoted
- How long it took different groups to move grades
We found that:
During our investigation HR Division produced a preliminary analysis for the Management Board of all recruitment and promotion undertaken in the calendar year 2006.
We would advise however that this preliminary analysis should be developed in the ways that the CRE guide (as discussed above) outlines.
Monitoring, by reference to racial group, of the number of applicants for training
The online Learning Academy, introduced by the Department in 2005 lists all courses that are available. Staff can use the Learning Academy as a tool to search for training, although cannot use it to book courses online yet (various functionalities are being considered for Phase 2 of the Learning Academy, tenders for which are currently being evaluated).
The majority of training within COPFS is mandatory especially in respect of legal training, hence it is not normally necessary for a sift to take place and for individuals to be selected for training based on their suitability for the course. Courses are populated on application. Providing there is a course running and training applications are supported by the applicant's line manager individuals will be allocated places and thereafter placed on a waiting list for future courses to become available.
Other factors, which influence the attendance of individuals on training courses, are primarily based on the individual's skills assessment and gaps in training needs. Based on the rotation of roles within an office or area the skills gaps of individuals may vary year to year depending on their personal objectives and competencies within their job profile. In addition to this much of the training carried out by COPFS is reactive to changes in legislation and will be delivered to those working in the core functions impacted upon these changes.
In relation to collection and analysis of number of applicants for training, the CRE guide recommends (amongst other things) that:
- Monitoring should show the overall numbers (and proportions) of applicants for training, according to their ethnic group.
The CRE guide goes on to recommend that there should be some thought given to as to what training is deemed central to career development and further, the classification of types of training, so that like can be compared with like. For example, how long did the training last? How much did it cost? Was it related to current work or work at the next grade? (See pages 29-30 of the CRE guide)
We found that:
Since line managers must approve any application for training, this particular aspect of the application process should be monitored and examined closely. No active analysis of applicants for training currently takes place. The current system does not facilitate this type of analysis.
For those with 150 or more full time staff, additional monitoring of the numbers who receive training
Following on from the section above, a record of which training staff have attended is held on the KCS system. Figures have been produced in relation to the number of staff who have received training, by ethnic group.
A limited amount of information in relation to training received can be extracted from the Learning Academy via a report that can be run. Data extraction is one of the considerations for Phase 2 of the Learning Academy.
We found that:
During our inspection HR Division produced a preliminary analysis for its Management Board (MB) which showed that of the 3146 man-days of training received by staff in 2006, 3.5% was received by individuals from a minority ethnic background.
The preliminary analysis produced for the MB is a step in the right direction but the training received by legal and administrative staff needs to be presented and analysed separately. We were advised that regular reports to the management board should be provided in future and a return will be completed for each training course giving breakdown of ethnicity of course participants.
For those with 150 or more full time staff, additional monitoring of the numbers who benefit or suffer detriment as a result of performance assessment procedures
Each individual appraisal report submitted to HR is examined to ensure consistency and fairness of marking. The spread of appraisal marks is also examined by ethnic group. Similarly, HR looks at numbers (and proportions) of staff promoted by ethnic group.
In relation to collection and analysis of numbers of staff who benefit or suffer detriment as a result of performance assessment procedures, the CRE guide recommends (amongst other things) that:
- Monitoring should show the number of employees from each ethnic group who have benefited or suffered detriment as a result of performance assessment procedures.
The guide goes on to recommend that there should be an analysis of the spread of appraisal marks for different groups, on a grade-by-grade basis. It is also recommended that the language used in appraisals should be examined to see if there is evidence of stereotyping/different attitudes and so on.
We found that:
It is encouraging to note that each staff report is looked at individually and that comparison of appraisal marks is done across ethnic groups. Similarly, that numbers of staff promoted by ethnic group is examined.
During our inspection the Department presented a report to Management Board on the outcomes of the performance appraisal system in 2005-06 in terms of box markings by Area, grade, ethnicity, and working pattern.
This report flagged up a potential issue of concern re the proportion of the highest box markings awarded to minority ethnic as compared with white staff. The report however acknowledges that the numbers in the minority ethnic category are not large enough to allow definite conclusions to be drawn.
For those with 150 or more full time staff, additional monitoring of the numbers who
- are involved in grievance procedures
- are the subject of disciplinary procedures
- cease employment with the authority.
The number of staff involved in grievance/disciplinary procedures is very small and each case is examined individually. Exit interviews (these started in April 2005) now take place in any instance where a member of staff leaves employment with the Department. A standard form is used around which the interview is structured and the member of staff concerned is given the chance to explore any issues of concern.
In relation to collection and analysis of numbers of staff who are involved in grievance/disciplinary procedures and those who cease employment with the authority, the CRE guide recommends (amongst other things) that:
- Monitoring must show the number of employees from each ethnic group who have brought grievances.
- Monitoring must show the number of employees from each ethnic group who have had disciplinary procedures brought against them.
- Monitoring must show the number of employees from each ethnic group who have left employment with the organisation, for whatever reason.
The guide also advises that further analysis and investigation is undertaken in respect of each of these groups (page 32-33).
We found that:
It is encouraging that each case in respect of grievance/disciplinary procedures is looked at individually and also that exit interviews are now conducted. The Department has undertaken to produce for its Management Board an annual report on its grievance cases, summarising these and the outcomes, but in a way that individual cases can not be identified, and including in that report a note of whether there were any cases involving staff from an ethnic minority background. We were advised that monitoring will continue year on year.
Publishing annually the results of this monitoring.
COPFS have published the following information relevant to the monitoring duties discussed above:
- Permanent staff in post, by grade/pay band, as at April 2006
- Staff promoted, 01/04/05 to 31/03/06
- Number of staff attending training courses, 01/04/05 to 31/03/06
To re-iterate, the information to be published is:
- Monitoring, by reference to racial group, numbers of staff in post, applicants for employment, training and promotion.
- For those with 150 or more full time staff, additional monitoring of the numbers who -
- receive training
- benefit or suffer detriment as a result of performance assessment procedures
- are involved in grievance procedures
- are the subject of disciplinary procedures
- cease employment with the authority.
The CRE guide further states that what is published should meet the requirements of the Data Protection Act (DPA) 1998, such that no individual should be identified by the data published. Even if it is not possible to identify an individual with certainty from the monitoring data, if the information points to only a small group of people, this might also affect their rights under the DPA.
We found that:
To re-iterate, at the time of our inspection, the following information was published by COPFS, with reference to racial group:
- Permanent staff in post, by grade/pay band, as at April 2006
- Staff promoted, 01/04/05 to 31/03/06
- Number of staff attending training courses, 01/04/05 to 31/03/06
During the course of our inspection the following information was published, with reference to racial group:
- Staff performance appraisal markings, 2005
- Applicants for recruitment and selection, 2006
- Staff involved in grievance procedures, April 2005 to December 2006
- Staff being the subject of disciplinary procedures, April 2005 to December 2006
- Staff who ceased employment with COPFS, 2006
However, some of the information published does not comply with the requirements of the Data Protection Act 1998, as referred to in the previous paragraph. We were advised that COPFS will amend the presentation of data to exclude information relating to individuals which would allow identification.
We also took this opportunity to update our thematic report on the Crown Office and Procurator Fiscal Service's response on race issues which we published in March 2005. This report can be read on http://www.scotland.gov.uk/Topics/Justice/ipis/Intro.
In our Thematic Report we highlighted the fact that Scotland`s minority ethnic community represented about 2% of the total population. This was based on the results from the 2001 Census and there were considerable differences in the size of ethnic groups, Pakistanis being the largest single group.
Location also varied considerably with Glasgow having the largest number at 31% of the total. Also a much higher percentage of people from minority ethnic backgrounds lived in large urban areas. Our individual office inspection reports comment on the size of the local ethnic minority community and compare that with the profile of ethnic minority staff in the local office. This not surprisingly produces varying levels of employment in COPFS of ethnic minority staff but overall COPFS has a total ethnic minority staff level of approximately 2%. (28 out of a total of 1493)
The 2005 Staff Survey gives results for the number and percentage of ethnic minority staff per grade. The majority are concentrated at the lower end of the grades although COPFS has been very successful in recruiting from the ethnic minority community into the Depute Trainee Scheme (currently 12 per cent) and if staff stay in post it is to be expected that representation in the higher grades will improve with time as it has done for female staff (37% of the Senior Civil Service are now female) Ethnic minority representation in legal grades is 4%.
In the report we made 12 recommendations all of which were accepted. Recommendations 8, 9 and 10 specifically related to HR activities.
These were as follows:
Recommendation 8
We recommend that active analysis of applicants for employment, training and promotion should be put in place.
Crown Office response
This information in relation to applicants for employment and promotion is presently gathered by our Personnel Division. The analysis is available for consideration by the Management Board. The introduction of an online Learning Academy for COPFS in 2005 will also enable us to collate and provide detailed information on applications for training and development opportunities. Relevant information will be placed on the new COPFS website once meaningful data is available.
Compliance to date
The Department has been unable as yet to utilise the Learning Academy fully for this purpose. The generic application pack seeks information on ethnicity and is of course an opt-in system, using the same categories as the Census thereby enabling comparisons to be made. The Department is updating its application forms to include e.g. sexual orientation.
However there is still no active analysis of applicants for training, as discussed above, simply figures for the number of ethnic minority staff who have attended training courses. Preliminary analysis of applicants for employment and promotion has been carried out but needs to be developed further. The Department states that applications for training is not an issue for legal grades as the training is mandatory for all but there is a considerable volume of opt in training events and no monitoring currently takes place for these. Similarly consideration needs to be given to applications for training submitted by administrative staff. The 2005 Staff Survey revealed that 15% of staff claimed to have suffered discrimination and of this 15% only 3% claimed discrimination on the basis of race. This is a low figure but nevertheless the Department needs the monitoring to assure itself.
Recommendation 9
We recommend that active analysis of training received by staff should be put in place.
Crown Office response
A training needs analysis for all staff is presently underway. The results will be used to consider which aspects of training require to be focused upon. COPFS Training and Development Division place a greater emphasis on the evaluation of the provision of training from both the perspective of the individual and of the organisation.
Compliance to date
The preliminary analysis produced for the MB during our inspection is a step in the right direction but training received by legal and administrative staff needs to be presented and analysed separately to be meaningful.
Recommendation 10
We strongly recommend that publication of monitoring data be taken forward at the very earliest opportunity and we support the use of the COPFS website as a forum via which to publish.
Crown Office response
This information will be made available on the new COPFS website due to be available before July 2005. In the meantime the information can be made available hard copy on request to interested parties.
Compliance to date
Partial information was published at the time of our inspection. During the course of our inspection, additional data was published. As noted previously however, some of the information published does not comply with the requirements of the Data Protection Act (DPA) 1998. However, we were advised that COPFS will amend this data in line with the DPA requirements at the earliest opportunity.
In December 2003 the Commission for Racial Equality published a report on the extent to which public authorities were meeting the duties imposed on them under the legislation including the employment duties.
The report concluded that progress was being made across all sectors and in areas with different ethnic minority populations. There was however a comment in the report that there was some indication that the different components of the race equality duty might not always be fully understood and that the absence of employment plans in a significant number of schemes and policies might be due to a lack of awareness of the employment duty.
Conclusion
We have highlighted that HR Division has gone some way towards meeting its obligations in terms of the specific statutory duties but as recognised by them, the steps taken need to be developed by further active monitoring, analysis and publication of the results.