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Annual Report 09/10www.publicappointments.org

The Office of the Commissioner forPublic Appointments in Scotland

Take your seat


Laid before the Scottish Parliament by the Commissioner for Public Appointments in Scotland in pursuance of paragraph 13(4) of Schedule 1 to the Public Appointments and Public Bodies etc (Scotland) Act 2003.CPA/2010/06.

Office of the Commissioner for Public Appointments in Scotland

OCPAS Annual Report 09/10

CONTENTS Page

Welcome to OCPAS 02

Delivering diversity 04

Regulating appointments 09

OCPAS Assessors 10

Guiding Improvement 13

Revising the Code of Practice 14

Issues arising during the year 16

Statistics 20

Our plans 24

Summarised annual accounts 2009-10 26

Appendix: A guide to the public appointments process 30

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This report is available in alternative formats on request by telephoning OCPAS on 0131 718 6268 or by emailing [email protected]

Visit our website to find out more about our work – www.publicappointments.org

This annual report summarises the activities of my office during the 2009-10 financial year. This was our sixth year of operation, one that saw a number of developments on the public appointments front. In this report you’ll find information about:

• ThePathfinderProgramme,designedtointerestawiderangeofquitedifferentpeople in the work of our public bodies and to encourage them to consider applying to join their boards – already we’re seeing applicants from currently under-represented groups leave the programme, apply and be recommended for appointment to public body boards.

• Thenumberanddiversityofbothapplicantsandpeopleappointedduringtheyear.There’s been an increase in total applications of 243%, rising from 668 in 2008-09 to 2294intheyearunderreview.Thisissignificantandencouraginggrowth.Equallyencouraging is the increase in the number of people appointed from currently under-represented groups – for example a 33% increase in the number of people appointed who declare a disability.

• GuidanceI’veissuedtoenhancetheoperationoftheappointmentsprocess.Detailsin the report explain what has been introduced and the positive effect it has had on the operation of the ministerial public appointments process.

• Complaintsandinvestigationscarriedoutduringtheyear.Complaintshavereducedbutthenumberofenquiriesandrequestsforadvicereceivedbymyofficehasincreased by 35%.

• HowIhavecarriedoutmydutytoexamineandreportonthewaytheScottishMinisters are appointing non-executive directors to the boards of Scotland’s public bodies. You’ll find details of OCPAS Assessors’ involvement in 61 appointment rounds and the impact they had on the success of the round.

Welcome

www.publicappointments.org02


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And finally, this report outlines the work of my office in taking forward our merger with the Scottish Parliamentary Standards Commissioner and the Office of the Chief Investigating Officer to form the Commission for Ethical Standards in Public Life in Scotland.

Health,education,theenvironment,theeconomy……publicbodiesplayanimportantrole in Scottish life. And their boards play a vital role in guiding and shaping their - and our - futures. The public appointments process enables the Scottish Ministers to create boards made up of skilled, knowledgeable people who are in touch with the needs of the communities they serve.

This report describes how I and my team work to make sure that the people appointed to the boards are appointed on merit following an open and fair process. I could not achieve what I do as Commissioner without the hard work and support of the central team, Karen Elder, Ian Bruce, and Corryne MacLean who sadly left in the early spring to movetothenorthofScotlandandpursueaquitedifferentcareer.Mythanksgotothemand to the team of OCPAS Assessors, who monitor the appointments process, for all they have done to support me and the work of OCPAS.

Karen CarltonCommissioner for Public Appointments in Scotland

DeliveringdiversityDiversity Delivers,thefirstequalityanddiversitystrategyforScotland’sministerialpublic appointments process, was launched on 1 September 2008. The strategy concentrates on the way the public appointments process can develop to attract a wider and more diverse range of applicants. It resulted from significant research into the operation of the public appointments process and the barriers people come up against when considering, or applying for, a position on a board.

Scotland’spublicbodiesarerequiredtodeliverministerialpolicyandservicestomeet the needs of an increasingly diverse population. A board drawn from varied backgrounds and with a wide spectrum of knowledge and experience will be well placed to appreciate the evolving needs of the population it serves. The vision for Scotland’s public appointments process concentrates on three areas:

Awareness and AttractionA pool of applicants as diverse as the people of Scotland, aware of and attracted by the work of our public bodies and the opportunities to serve on their boards.

Confidence and CapacityAn appointments system that inspires confidence, increases capacity and embraces diversity, from the application process to the boardroom.

Education and ExperienceA programme of support for our future leaders, developing and providing opportunities for all to achieve their full potential and for Scotland to draw upon its brightest talent.



DuringtheyearOCPASlaunchedthe Pathfinder Education Programme, designed to raise awareness of the role and value of public bodies and encourage applications for their boards from currently under-represented groups. We aregratefultotheEqualityandHumanRightsCommission for their support for the programme, both in terms of the money they provided to fund development and delivery and the help they gave in promoting the programme to their network of contacts.

Three programmes ran with a total of 53 people taking part. We conducted an evaluation of each programme and of the overall impact of the programmes. Results show:

• 99%ofrespondentssaidtheprogramme had increased their knowledge of the work of Scotland’s public bodies and their understanding of the role of the non-executive and 94% indicated an increased understanding of the competencesaboardmemberrequires

• 48%ofrespondentshadtakenactionto

apply for an appointment and a further 38% said they will do so when a suitable vacancy arises.

The application process is anonymous, so we are unable to follow the progress of people from the programme as they apply for an appointment. We have asked participants to let us know when they are successfully appointed and have learned of two who have already been recommended for appointment to the Scottish Ministers. We anticipate the coming year will see many more.

To support those people who attended the Education Programme, OCPAS introduced the Pathfinder Mentoring Programme. Mentors are chairs and board members from across the range of the public bodies we work with. Mentors participated in a development workshop and follow-up sessions, to provide them with support and encourage consistency of approach to mentoring. The people who have benefitted from mentoring are those who took part in the EducationProgrammeandrequestedadditionalsupport to identify and apply for positions for which they were most suited.

Duringtheyearweproducedanewpublicityleaflet to encourage applications and we’re now working on a Pathway to Public Appointments document that will help people identify the route best suited to them when they wish to apply for a board position.

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At31March2010,progresswiththeactionsrecommendedinDiversityDeliversmaybesummarised as follows:

Awareness and Attraction

A1 the communication campaign Recruit board role models • O Board member profiles • O Short written guide to the work of boards • O Explore distribution of written guide with other mailed documents • O ProduceanddistributepublicappointmentsDVD • SG/O Run meetings and events for interested groups; utilise board role models • O Run workplace events • SG Explore use of social networking sites • SG

A2 the hub website Develophubwebsite • SG/O

A3 publicity material and monitoring Produce publicity and application documents in a more encouraging, less formal style • SG AnalysisofmonitoringinformationrecommendedinDiversityDelivers • SG Information bank of different methods of publicising appointments • SG

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Confidence and Capacity

C1 the centre of expertise Establish a centre of expertise to advise on and administer the public appointments process • SG

C2 pilot of different application and selection methods Identifythecoreskills,knowledgeandpersonalqualitiesneeded for a board member to be effective • SG Pilot a variety of new application methods • SG

C3 appointment-focused diversity training Provide training for selection panels • SG Provideregularupdatesondevelopmentsinequalityanddiversity • SG Incorporate diversity training for board effectiveness into induction process for board members • SG Measure diversity awareness as part of board members’ performance assessment • SG

Education and Experience

E1 the education programme Developandrunaneducationprogrammeonbecomingaboardmember • O

E2 workshops for applicants Run regular workshops on how to apply and prepare for interview • O

E3 board training positions Provide routes for potential board members to develop their skills in a training position. This was converted to the OCPAS Mentoring programme. • O

Key • Not started • Ongoing •Completed

Organisation responsible for the action: O OCPAS SG theScottishGovernment SG/O theScottishGovernmentandOCPAS

Full details of the actions taken appear in the diversity section of our website.

Diversity Delivers – One Year On, a conference focussing on the importance and value of diversity at board level, was held in September 2009. We invited public body chairs to learn about the latest thinking inpublicitystrategies,diversityandequalitytraining and managing the media when, for example, being interviewed by a local radio station to promote opportunities on a board. OCPASwasdelightedthatHelenAlexanderCBE, first female President of the CBI, gave the keynote address stressing the value of diversity on boards. Since then we have learned of a number of simple but effective actions taken to increase the diversity of applicants. One very simple example of an approach encouraged by Diversity Delivers is the introduction of a letter to everyone who expresses interest in a post from the chair of the public body concerned. The letter thanks people for their interest in the post, tells them something about the body and its future plans and provides details of the person to contact should someonehavequestionsaboutthepostor the application process. This approach has been welcomed by applicants. The chairman of a large health board described the response to his letter – he had received double the number of applications than in the past and applications came from a widerrangeofpeople.Hereceivedemailsfrom people who had expressed interest in the post on his board, indicating that it had helped them to decide whether or not to apply.

What we have done as part of the drive to increase diversity supplements the work oftheScottishGovernment.Diversity Delivers sets targets for them in a number ofkeyareas.ThroughtheDiversityDeliversSteeringGrouptheyreportonprogressmade in implementing the recommendations in the strategy and, by monitoring applicant data and progress, they provide me with composite statistics on application and appointment.

Progress in encouraging a wider range of applicants is detailed in the statistics section of this report. We have asked the Scottish Governmenttoanalysetrendsinthedataandtotakeappropriateactionasrequiredto address barriers and increase opportunity for currently under-represented groups.



Regulating appointments

The following pages explain:• howwemonitorthepublicappointmentsprocess• howwehaveassistedtheScottishGovernmenttocomplywiththeCode• commonissuesaffectingtheappointmentsprocessandwhatwe’vedoneaboutthem.

Who’s who in the process

OCPAS Assessors monitor every regulated public appointment on behalf of the Commissioner. They are involved as selection panel members from the outset, when a sponsor team starts planning to fill a vacancy. As guardians of the Code, they are there to ensure that appointments are made fairly and openly. They also have a role in helping sponsor teams to achieve a successful outcome - a selection of able candidates for the Minister to choose from.

Sponsor teamsThe day-to-day link between the public body and the Minister is provided by a sponsor teamsittingwithintheScottishGovernment.

Regulated public bodiesOCPAS regulates 82 public bodies and 675 posts. A list of these bodies appears on our website.

Selection panelsThe panel selects people for interview, interviews candidates and recommends thosewhobestmeettherequirementsoftheposttotheMinister.Itnormally consists of:• thechairofthepublicbody• aseniorcivilservant,representingtheMinister• anOCPASAssessor,representingtheCommissioner.

The CodeThe Code of Practice for Ministerial Appointments to Public Bodies in Scotland specifies the principles to be followed when a public appointment is made.

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OCPAS Assessors

Our current team of 13 Assessors comes from a variety of backgrounds spanning the public, private and voluntary sectors. Their fields of expertise range from board level governancetoequalityanddiversity.YoucanreadourAssessors’profilesbyvisitingourwebsite.

Assessors share a detailed knowledge of the code of practice and of good practice in recruitment and selection. They also share our commitment to working in partnership with theScottishGovernmentandtomakingtheappointmentprocessmorewelcomingandaccessible. This year we revised the way in which our Assessors provide constructive feedbacktotheScottishGovernmentattheendofappointmentrounds.Thisistoensurethat the public appointments process is continually improved and better meets the needs and expectations of the people of Scotland.

OCPAS Assessors’ performance

We review the performance of our Assessors through feedback provided by the Scottish Governmentattheendofeveryappointmentround.

This year, feedback included comments on 175 different aspects of the Assessors’ performance.

TheScottishGovernmentstronglyagreedthatAssessorsperformedwellin146cases(83.4%) and agreed that they performed well in 27 cases (15.4%) - in two cases the review questiondidnotapplytotheAssessor’sinvolvementintheappointmentround.Thesefigures demonstrate a further improvement in the way that our Assessors’ performance is viewed.Hereareexamplesofthecommentswereceiveabouttheirperformanceprovidedby senior civil servants who chaired selection panels.

“Hewasknowledgeable,drawingonbothhisunderstandingoftheOCPASprocessandhisownextensiveHRbackground.Whilefollowingdueprocessheillustratedapragmaticapproach and a maturity to the various issues that arose throughout the various stages.”

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“From the initial planning meeting to the conclusion of the process the OCPAS Assessor provided helpful and constructive advice. She was fair minded and pragmatic throughout the process and always willing to provide further advice where needed. She provided clear and constructive advice when advising on the Code. An example of this occurred after the short listing meeting and in the follow up to that when it was agreed that we should seek further information from candidates. This led to a very successful outcome and a high qualitylistofnominationswentforwardtotheMinister.”

Publicbodychairswereequallypositiveintheircomments.Oneobserved:

“The first point to make is that the process went smoothly and surprisingly swiftly. TheinputoftheAssessorwaskeytothis…”

Another described his involvement with Assessors as:

“apositiveexperience–theyareanenablingforce…”

Appointment rounds 09/10 08/09Allocated 46 42 Incomplete at year end 28 15 Completed at year end 18 27Allocated previous year and completed this year 14 28Allocated previous year and incomplete 1 0Total completed in year 32 55Average no. of Assessor days per round 6.5 5.0Average cost per appointment round £1952 £1397

The increase in cost per Assessor per round was due to:

• AnincreaseinthefeespaidtoAssessors.Assessorswerepaid£250perdayfromJanuary2001andthiswasincreasedto£275from1April2009.

• AnincreaseintheamountoftimeAssessorsspentoneachappointmentroundfrom 5to6.5days.Wenowrequireselectionpanels,includingtheAssessor,toconductanearly planning meeting for each appointment round to discuss the needs of the board and the body, the person specification and the methods to be used in the appointment round. In addition, Assessors spend time reviewing the round as a whole with the selection panel at the end of the process.

Assessor fees cannot continue to increase and we will review their involvement in appointment rounds alongside the review of the Code of Practice for Ministerial Appointments to Public Bodies in Scotland planned for 2010.



Guidingimprovement

We introduced guidance during the year to improve the operation of the public appointmentsprocess,toencouragetheScottishGovernmenttoadoptamore flexible approach to application and thus attract a wider range of applicants.

In summary, the guidance;

• Encouragedtheuseofarangeofapplicationmethodstoreplacethetraditional,lengthyapplication form. Methods included the introduction of a tailored curriculum vitae and the option to ask for expressions of interest and interview all who are interested. Selection panelsarerequiredtoconsidertherangeofoptionsopentothemwhenplanningappointment rounds.

• Offeredselectionpanelmemberstheflexibilityofseekingfurtherinformationfromapplicants whose applications have provided limited information, to enable as many suitable people as appropriate to be invited for interview.

We also issued guidance to the Scottish Ministers regarding their appointment decisions. The guidance made it clear that Ministers’ reasons for appointment and non-appointment must be recorded. Those reasons must provide a clear justification for appointment and non-appointment decisions and must enable constructive feedback to be provided to candidates whom the Minister decides not to appoint.

From 1 April 2009 the appointment process has included a planning meeting of selection panel members. The introduction of this meeting has been particularly welcomed by all participants. Chairs of public bodies, Assessors and senior civil servants alike have all indicated that this initiative is increasingly leading to improvements to each new appointments round. The planning meeting is intended to focus the minds of participants on:

• identifyingtheboard’sneeds• articulatingthoseneedsinastraightforwardandunderstandableway• workingouthowtoattractthepeoplewhowillbestmeetthoseneedsand• agreeingonthemostappropriatewaytoassessthosepeople.

The greater flexibility in assessment methods is leading to some innovative, encouraging and common sense approaches to making public appointments. Examples include the use of past board papers and case studies to assess the skills that people will be expected to employ once appointed to a board.

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Revising the Code of Practice

We went to considerable efforts this year to involve our stakeholders in the planned revisions tothecode.DuringourworkonDiversity Delivers we found it invaluable to gather the views of diverse and knowledgeable groups of people on what would and would not effect positive change in the public appointments process. All of the knowledge that we gathered informed the production of Diversity Delivers and this in turn informed some of the key revisions that we proposed for the code. Feedback from applicants on their experience of the appointments process was important to us. The observations of our Assessors and the results of our thematic reviews of the appointment process also contributed significantly to our proposals for change. All of this intelligence led to broad proposals on what a revised code should focus on – the applicantandtherequiredoutcome.

We ran four pre-consultation events on the proposals for the revised code in November 2009.Oneeventwasforseniorcivilservantsandthreeothers,inGlasgow,EdinburghandInverness, were run for the chairs of public bodies.

Some key but disparate messages came across from each group of stakeholders. These will all be fed into the proposals for the revised code.

All three groups of chairs particularly welcomed the opportunity to enter into an open dialogue about the issue of public appointments. They were clear that the direction of travel for the public appointments process was positive.

There was also agreement that, although it was far from perfect, the situation was better than it had been prior to regulation. Chairs were also positive about the recent changes we introduced.ThesearebeingimplementedbytheScottishGovernmentandarereferredtoearlier in this report. The majority of chairs in all three groups agreed that there was more work to be done to improve the process in terms of: • thecompetenceofparticipants• theadvice,supportandtrainingavailabletoselectionpanelmembers• theaccessibilityoftheprocessforapplicantsandpotentialapplicants.

The senior civil servants had a different perspective to the chairs. Some felt that the appointment process and level of regulatory oversight provides a basis to defend appointment decisions and protect Ministers.



Another message that came across clearly was that many civil servants are risk averse and believe that the most risk-free way of running a round is to follow the tried and tested route, whether or not that results in an approach tailored to the body and theappointmentinquestion.Theyfeltthatsetting out in future guidance a range of potential code-compliant options for a more flexible approach would be helpful.

All groups agreed that a move to a short, simplified code underpinned by easily understood principles and accompanied by a handbook of guidance would be welcomed.

There was also agreement that the current criteria for roles on boards were, in the main, leading to the appointment of candidates with similar backgrounds and excluding applications from groups that were currently under-represented on boards. The Scottish Governmenthasundertakentoproduceacompetency framework, identifying some common appointment criteria and indicating a range of criteria for use by selection panels. All were in agreement about the importance of agreeing the right selection criteria – right for the body and the post to be filled – at the planning meeting.

Discussionduringthesepre-consultationevents indicated that civil servants consider the “professional” panel member to be the Assessor. This is not just in relation to their knowledge of the code but also to their knowledge of recruitment and selection and diversity. Other panel members, including both chairs and senior civil servants, were not always trained in these areas prior to participating as selection panel members.There was an acknowledgement that the Assessor’s current role is not necessarily appropriate but it is viewed as clearly meeting a need.

We highlighted our concern that the public appointments process is over-regulated and outlined proposals for a risk-based approach when the new code is introduced. The level of risk assigned to an appointment round will be matched by the level of scrutiny provided by OCPAS, so the current reliance on the expertise of the Assessors cannot continue.

For those with an interest in the development of the code, the full reports of discussion at the pre-consultation events are available on our website. We expect to consult on our proposals for the revised Code from June of 2010.

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Issues arising during the year

ISSuES RAISED 09/10 08/09 07/08Advice on the Code of Practice (key trend 1) 170 147 141Advice on good practice 31 20 26RequestforanexceptiontotheCode 60 63 40Generalenquiryontheworkoftheoffice 35 24 32Otherenquiries(keytrend2) 203 98 105Freedomofinformationrequest(keytrend3) 10 9 4Complaints about appointment rounds 7 12 9Concern about an appointment round 41 42 52Report about good practice 5 1 3Report about a failure in administration 5 0 5Report about non-compliance with the Code 6 9 8Total 573 425 425

Key Trend 1Theintroductionofnewguidanceledtoariseinenquiriesforadviceonapplicationofthecode.Fiftyoftheenquiriesreceivedduringtheyearrelatedtothenewoptionsforapplication methods and to seeking additional information from applicants.

Key Trend 2Thenumberof“otherenquiries”rosesignificantly.Aquarterofthesewerereceivedfrommembers of the public and related mainly to the topic of public appointments in general ortospecificappointmentrounds.EightytwooftheseenquirieswerereceivedfromtheScottishGovernment.Theparticulartopicsvariedgreatlyandrangedfromdiscussionsonmaking effective appointments to the extent of flexibility available under the code. Others who contacted us, including the Assessors and the Scottish Parliament, asked for advice or updated the office on particular appointment rounds.

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Key Trend 3

FOI REQuESTS 09/10 08/09

Information on specific appointment rounds Accounts Commission for Scotland 1 NHSLothian 2 Scottish Legal Complaints Commission 1 5 Scottish Qualifications Authority 1

Operation of the Commissioner’s office Expenditure on earnings, expenses and events 1 Staff and Commissioner earnings 2 Staff and Commissioner expenses 2 All gifts and hospitality 1 ExpenditureontheScottishGovernment’sNationalConversation 1 Financial information regarding a contractor 1

Other Whether OCPAS made a complaint about another regulator 1 Total number of requests 10 9

Wenotedasignificantincreaseduringtheyearinrequestsforfinancialinformation.



COMPlAINTS AbOuT APPOINTMENT ROuNDS 09/10 08/09

Non-regulated bodies Judicial Appointments Board for Scotland 2 Other–GlasgowMetropolitanCollege 1 TheRoyalPharmaceuticalSocietyofGreatBritain 1 Forestry Commission Scotland 1

Regulated bodies HighlandsandIslandsAirportsLtd 1 Office of the Scottish Charity Regulator 1 NationalGalleriesofScotland 1 National Museums of Scotland 1 Scottish Legal Aid Board 1 NHSGreaterGlasgow&Clyde 1 NHSLothian 1 NHSWesternIsles 1 Scottish Ambulance Service 1 Scottish Legal Complaints Commission 4

Operation of the Commissioner’s office Recruitment of Assessors 1

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Ministerial appointment decisions

At a meeting with the Commissioner in August 2007, the Cabinet Secretary for Finance andSustainableGrowthagreedthatappointmentdecisionsshouldnottakemorethansix weeks. While we believe that to be too long a period, it represented a significant improvement on the pattern that had been emerging of very lengthy periods between the recommendation by the selection panel and the decision by the appointing minister.

Over the past year decisions on appointment to the following bodies exceeded the agreed limit:

body Position(s) Time takenScottish Qualifications Authority Member six weeks and one dayScottish Law Commission Legal member six weeks and six daysHighlandsandIslandsAirportsLtd Chair sevenweeksandsixdaysDavidMacBrayneLtd Member elevenweeksandfourdaysLearning and Teaching Scotland Member thirteen weeks and one dayAccounts Commission for Scotland Member thirteen weeks and two days



StatisticsAppointments and Applications

31 March 2010 31 March 2009No. of bodies regulated by OCPAS 82 79No. of posts regulated by OCPAS 675 735

Threebodieswereaddedtoourremitin2009-10-ScottishFuturesTrustLtd,HealthcareImprovement Scotland, Social Care and Social Work Improvement Scotland. Their boards are still to be appointed.

No bodies were removed from our remit.

The status of a number of bodies under our remit will change when the Public Services Reform (Scotland) Bill is enacted in 2010-11.• Advisory Committee on Sites of Special Scientific Interest - functions transferred to ScottishNaturalHeritage

• DeerCommission-functionstransferredtoScottishNaturalHeritage• HistoricEnvironmentAdvisoryCommitteeforScotland-dissolved• ScottishIndustrialDevelopmentAdvisoryBoard-dissolved• Scottish Records Advisory Committee - dissolved• Scottish Commission for the Regulation of Care - functions transferred to Social Care

and Social Work Improvement Scotland• Building Standards Advisory Committee - dissolved• Scottish Arts Council - functions transferred to Creative Scotland• Scottish Screen - functions transferred to Creative Scotland

In addition, under the UK Flood and Water Management Act 2010, the functions of the Fisheries (Electricity) Committee will be transferred to the Scottish Environment Protection Agency.

ThePublicServicesReformActappearstotransferthefunctionsofNHSQualityImprovementScotlandtoHealthcareImprovementScotland.Howeveritdoesnot explicitlystatethisorremoveNHSQualityImprovementScotlandfromourremit. We await legislation to complete this process.

TheScottishUniversityforIndustryhasbeensubsumedintoSkillsDevelopment Scotland and we are awaiting legislation to formally remove it from our remit. TheScottishHousingRegulatorwillbebroughtwithinourremitin2010-11ifthe Housing(Scotland)Billpasses.

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Appointments made during the year

Total New Re-appointments05/06 172 102 7006/07 197 121 7607/08 180 119 6108/09 154 92 6209/10 169 73 96

Men and women appointed Total Male Female05/06 172 110 6206/07 197 129 6807/08 180 127 5308/09 154 98 5609/10 169 108 61

People appointed from a minority ethnic background and people appointed who declared a disability Minority Total Ethnic Disabled05/06 172 2 106/07 197 5 507/08 180 5 208/09 154 2 1209/10 169 2 16

Male Female64% 36%65% 35%71% 29%64% 36%64% 36%

66+ 56-65 46-55 36-45 35 and under Not stated

Age range of people appointed

7

44

34

122 1

05/06

10

46

27

141 2

06/07

14

4624

87 1

07/08

8

4529

123 3

08/09

7

43

24

7

3

18

09/10



Applications received during the year 09/10 08/09 General Population % % % Total 2294 668 Gender Female 699 30.5 209 31.3 51.8 Male 1488 64.9 451 67.5 48.2 Not completed on form 107 4.6 8 1.2 Minority Ethnic 52 2 22 3 2Disabled 160 7 126 19 20

Age range of people applying

66+ 56-65 46-55 36-45 35 and under Not stated

5%

41%

33%

11%

5%5%

05/06

5%

39%

31%

10%

7%

8%

06/07

5%

40%

30%

9%

5%

11%

07/08

8%

43%

30%

10%

3%6%

08/09

10%

44%

25%

10%

3%8%

09/10

Applications by religion

Faith %None 736 32.1Church of Scotland 740 32.2Roman Catholic 255 11.1Other Christian 208 9.1Another religion 72 3.1Prefer not to say 178 7.8Unknown 105 4.6Total 2294

Applications by sexual orientation

Sexual Orientation %Bisexual 18 0.8GayMan 17 0.7GayWoman/Lesbian 12 0.5Heterosexual/straight 2001 87.2Other 15 0.7Prefer not to say 121 5.3Unknown 110 4.8Total 2294

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Average number of applications received

Applications Average Applications received per round04/05 1703 4105/06 1675 3106/07 1326 3307/08 1235 2708/09 668 1909/10 2294 51

In 2009-10, applications to the Parole Board for Scotland attracted 828 applications. Excluding this round, the average for the year still increases from 19 to 37 applications per round.

Application forms received by Scottish Government directorate

09/10 08/09 07/08 Total Avg per Total Avg per Total Avg per round round roundNon-MinisterialDept 86 86 0 0 124 124Justice 968 121 98 20 309 39Health 371 23 211 13 364 17Environment 367 73 10 10 154 38Education 159 32 95 16 178 30Economy 343 34 254 32 106 18Totals 2294 668 1235



Our plansWhere do we go from here?

The coming year will see us focus on two major activities:

• theproductionofthenewCodeofPracticeforMinisterialAppointmentsto Public Bodies in Scotland

• preparingthegroundforthemergerwiththeScottishParliamentaryStandardsCommissioner and the Office of the Chief Investigating Officer to form the Commission for Ethical Standards in Public Life in Scotland.

The code of practice is the document that sets out the principles of the public appointments processanddescribeshowtherequirementsofthePublicAppointmentsandPublicBodiesetc (Scotland) Act 2003 are met. The current code, introduced in April 2006, was based on the code in place when the Commissioner was appointed. While she made a number of changes to thepreviouscode,theydidnotmakeasignificantchangetothewaytheScottishGovernmentimplements the public appointments process.

Since its introduction our office has monitored and reported on the code’s application; what we have seen indicates there is room for improvement, both in the understanding of the code’s requirementsandinthewaytheappointmentsprocessoperates.Someoftheguidancedescribed earlier in this report was introduced to encourage positive change. The code is an effective vehicle for influencing ongoing improvement.

During2010-11,weplantoconsultwidelyonboththeformatandcontentofthecodeandon the level of involvement of the OCPAS Assessors when scrutinising whether its principles are being upheld. We will also consult on a new model of scrutiny, one that changes the way Assessors participate in an appointment round. The responsibility for the progress of an appointment round and for ensuring compliance with the code lies with the person who chairs the selection panel; this is normally the senior civil servant representing the appointing minister. The new approach will underline this responsibility.

When the current code was introduced we were disappointed by the lack of training carried outbytheScottishGovernmenttoensureofficialsunderstanditsrequirements.Webelieve that lack of training is still impacting today on the way some appointment rounds are run.

Thus,whenthenewcodeislaunchedwewillwaitforafivemonthperiodbeforeitsrequirementsbecome mandatory, to provide time for training, and will offer code familiarisation workshops totheScottishGovernmentandchairsofpublicbodies.

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Creating a new CommissionIn May 2009 the recommendations of the Scottish Parliament’s Review of SPCB Supported Bodies Committee were published. One of its recommendations was to merge OCPAS with the Scottish Parliamentary Standards Commissioner and the Office of the Chief Investigating Officer. This recommendation was enshrined in legislation with the passing of the Scottish Parliamentary Commissions and Commissioners etc Act 2010.

During2009-10weworkedwiththesebodiestodecidehowtomergethethreeorganisationsandagreed a way forward to ensure the merger is accomplished as smoothly as possible with minimum disruption to our people and to the services we provide. Over the coming year we will work with these two bodies to agree our business plan, our budget, decide on appropriate accommodation, harmonise terms and conditions and – importantly – keep everyone informed through a series of all-staff events of how we are working together to create the new body.

The new Commission for Ethical Standards in Public life in Scotland will open its doors for business on 1 April 2011.

A busy year, as we make major change to our regulatory framework and say goodbye to OCPAS and welcome to the new commission.

Summarised annual accounts

Summarised Accounts

The financial information given here is a summary extracted from the Office of the Commissioner for Public Appointments in Scotland’s (OCPAS) audited annual accounts for the year ended 31 March 2010. It does not contain sufficient information to allow as full an understanding of the results and state of affairs of OCPAS as would be provided by the full annual accounts and reports. For a copy of the full accounts please contact us or view them on our website.

Operating Cost Statement for the year ended 31 March 2010

2010 2009 Restated for Restated for IFRS IFRS £’000 £’000 Administrative Costs Staff Costs 197 201Other Administration Costs 210 200Depreciation 1 1Operating Income 0 (2) Net Administration Costs 408 400

Net Operating Costs 408 400

All amounts relate to continuing activities. There have been no gains or losses other than those recognised in the Operating Cost Statement.



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Statement of Financial Position as at 31 March 2010

2010 2009 2008 Restated Restated for IFRS for IFRS £’000 £’000 £’000Non Current Assets Property,PlantandEquipment 1 1 1Intangible Assets 0 0 0 Total Non Current Assets 1 1 1 Current Assets Trade and Other Receivables 23 7 9CashandCashEquivalents 11 23 39 Total Current Assets 34 30 48 Total Assets 35 31 49 Current liabilities Trade and Other Payables (24) (20) (57) Total Current liabilities (24) (20) (57) Non Current Assets plus Net Current Assets 11 11 (8) Non Current liabilities - - - Assets less liabilities 11 11 (8) Taxpayers’ Equity GeneralFund 11 11 (8) Total Taxpayers’ Equity 11 11 (8)

Karen Carlton Date:25August2010Commissioner for Public Appointments in Scotland

1 basis of Preparation This summary financial statement has been prepared in accordance with the

Companies Act 1985 having regard to the Companies (Summary Financial Statement) Regulations 1995 (SI 1995/2092) as far as is relevant.

2 Other Administrative Costs 2010 2009 £’000 £’000 Property Costs 42 39 Annual Report 7 14 Financial Advice 9 9 OCPAS Assessors’ Costs 93 96 EqualOpportunitiesStrategy 17 15 GeneralOfficeRunningCosts 10 12 Miscellaneous 18 11 WebsiteCreation&Maintenance 14 4 210 200 Theabovetotalincludes£7,600forexternalauditor’sremuneration.

OCPAS has a small permanent staff. In addition, the Commissioner contracts for the services of OCPAS Assessors. Assessors take part in each appointment round to the boards of public bodies under her remit. They provide her with assurance that the processes used conform to the Code of Practice for Ministerial Appointments to Public Bodies in Scotland.

3 Related Party Transactions The Office of the Commissioner for Public Appointments in Scotland was constituted

by the Scottish Parliament which provides funding via the Scottish Parliamentary Corporate Body (SPCB). The SPCB is regarded as a related body. Neither the Commissioner, her staff or related parties has undertaken material transactions with SPCB during the year.



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Theauditor’sopiniononthefullannualaccountsfortheyearended31March2010wasunqualified.

Auditor’s statement to the Office of the Commissioner for Public Appointments in Scotland, the Scottish Parliament and the Auditor General for Scotland

We have examined the summary financial statements comprising the operating cost statement, balance sheet and related notes, which have been prepared in the form and on the basis set out in note 1.

Respective responsibilities of the Commissioner for Public Appointments in Scotland and the Auditor The Commissioner for Public Appointments in Scotland is responsible for preparing the annual report in accordance with the Public Appointments and Public Bodies etc (Scotland) Act 2003, the Public Finance and Accountability (Scotland) Act 2000 and directions made thereunder by Scottish Ministers. Our responsibility as auditor is to report to you our opinion on the consistency of the summary financial statement, within the annual report, with the full annual accounts.

basis of opinionWe conducted our work in accordance with Bulletin 2008/3 ‘The auditor’s statement on the summary financial statement’ issued by the Auditing Practices Board.

OpinionIn our opinion the summary financial statements are consistent with the full annual accounts, including the Management Commentary and the information in the Remuneration Report that is describedintheGovernmentFinancialReportingManualasrequiringtobeaudited,oftheOffice of the Commissioner for Public Appointments in Scotland for the year ended 31 March 2010 and have been properly prepared on the basis set out in note 1 to the summary financial statement.

We have not considered the effects of any events between the date on which we signed our report on the full annual accounts (4th August 2010) and the date of this statement.

Grant Thornton uK llP Date:25August20101-4 Atholl CrescentEdinburgh EH3 8lQ

Appendix: A guide to the public appointments process Who is involved in the public appointments process?

Public bodies

Non-departmental public bodies are vital to the well-being of Scotland. Jobs, health, education, justice, the environment, rural affairs, recreation, travel – public bodies contribute to all these areas, working in partnership with central and local government, voluntary and community agencies, businesses and individuals. These bodies can be advisory, providing ministers with independent expert advice about their specialist area. They can be executive, carrying out a range of activities on behalf of the Government.Publicbodiescarryouttheirworkinaccordancewithministerialpolicyandministersare ultimately accountable for their work. On a day-to-day basis, however, they work independently of ministers, led by a board of directors. The role of these directors is to provide effective leadership, direction, support and guidance to the public body to ensure that ministerial policies and priorities are implemented in a way that effectively uses resources and complies with standards of good governance. Some boards have executive directors, employed by the public body; all boards have non-executive directors, appointed by the Scottish Ministers through the public appointments process.

The public body’s role in the appointments processThe public body plays an important role in appointing its non-executive board members. A representative of the body, usually the chair, participates throughout the appointment. They indicate the type of person thebodyneedsonitsboardandtheskills,knowledgeandpersonalqualitiesthatwillcomplementthose of existing board members and provide the necessary leadership and direction. They then agree how the appointment will be publicised and participate as members of the selection panel. This panel selects people for interview, interviews candidates and recommends to the minister responsible for the appointmentthosewhobestmeettherequirementsofthepost.So,thepublicbodyplaysavitalroleindetermining who sits round its board table.



The Scottish Government

Ministers’ rolePublic bodies implement ministerial policies and priorities, so the Minister’s view of the type of person to be appointed must be included in the discussions at the start of every appointment round. Along with input from the chair of the public body, this forms the description of the essential and desirable criteria applicants must demonstrate. Once the selection panel has completed its work a description of the people who best match the criteria is given to the minister responsible for the appointment.

Who designs and manages the appointments process?MembersofstaffintheScottishGovernmentdesignedthecurrentpublicappointmentsprocess.TheCommissioner produces a Code of Practice, which describes what must be done to ensure an open and fairappointmentsprocess.TheGovernmenttranslatestheserequirementsintothepublicappointmentsprocess.Detailsoftheprocesstobeusedineachappointmentroundaregivenintheapplicationpack.

The Commissioner

What does the Commissioner do?The post of Commissioner for Public Appointments was established in 1995, in response to a recommendation by the first Committee on Standards in Public Life (known as the Nolan Committee) that the public appointments process should be regulated, monitored and reported on. The Committee believed the main weakness in the process at that point was the absence of effective, external scrutiny. Initially one Commissioner was appointed to regulate the process in England, Wales and Scotland. Following devolution a separate post of Commissioner for Scotland was created. The Commissioner is independent of both the Scottish Parliament and the Scottish Government-thisensuressheisabletoregulatewithoutexternalinfluenceorpressure.

How does the Commissioner regulate?The Code of Practice specifies the principles to be followed and contains descriptions of what must happen to make sure every appointment is made on merit following an open and fair process.TheCodefocusesonwhatshouldhappen;asdescribedabove,theGovernmenttranslates this into how it will happen during every round. The Code is firm on principle and flexible on practice – in other words, the Commissioner will not permit any of the Code’s principles to be overlooked but encourages flexibility in the way the practices are applied, to make sure they are appropriate for the specific post and the public body concerned.

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How does the Commissioner monitor?This is done by the Commissioner’s representatives during every appointment round, OCPAS Assessors. Often described as the Commissioner’s eyes and ears, OCPAS Assessors participate in every appointment round to make sure that the Code of Practice is followed. They provide guidance on the Code - but not on the Government’sprocesses-andcanchallengetheway an appointment is progressing if they believe the Code’s principles are not being followed.

How does the Commissioner report?This is done in three ways. The first is the audit of the appointments process, which the Commissioner conducts. Why audit when an Assessor sits in on every appointment? There are parts of the process that the Assessor does not see, for example the contents of files relating to each appointment and the decision made by Ministers about whom to appoint. To look behind the scenes of an appointment the Commissioner reviews the progress of a number of rounds and reports on the outcome to help improve the process.

The second form of reporting is when an appointment is made in a way that deviates significantly from the Code of Practice. Then the Commissioner reports the appointing Minister to the Scottish Parliament. The third form is the Commissioner’s annual report summarising appointment activity over the year and highlighting key concerns and issues.

In addition...The Commissioner in Scotland has two additional responsibilities. The first is to issue guidance to the Scottish Ministers on Code compliance - helping them to get it right, to reduce the need to report them for getting it wrong. Finally, the Commissioner investigates complaints about the appointments process. Information on how to make a complaint can be found in the OCPAS leaflet “Information on the Public Appointments Process”.



Contact detailsOffice of the Commissioner forPublic Appointments in Scotland

MWB Business Exchange 9-10StAndrewSquareEdinburghEH22AFTelephone: 0131 718 6058 Email: [email protected] Website: www.publicappointments.org

Karen Carlton Commissioner Telephone: 0131 718 6268 Email: [email protected]

Karen Elder Business Manager Telephone: 0131 718 6268 Email: [email protected]

Ian bruce Compliance Manager Telephone: 0131 718 6382 Email: [email protected]

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DESIGNEDANDPRODUCEDBYSHAWMARkETINGANDDESIGNEDINBURGH

MWB Business Exchange

9-10StAndrewSquare

EdinburghEH22AF

Telephone: 0131 718 6058

Email: [email protected]

Website: www.publicappointments.org

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