EQUALITY FRAMEWORK: GUIDANCE FOR MANAGERS

1. Introduction

1.1 The document Equality Framework: Guidance for Staff should be read before this document, since the latter builds upon the former.

1.2 The role of managers in creating an environment which has equality of opportunity at its core is crucial. Managers are given a number of specific responsibilities under the policies which form part of the Equality Framework. (These are discussed below.) More generally, it is expected that they will lead by example.

2. Why has a "framework" approach been taken?

2.1 An equal opportunities policy statement on its own sometimes remains just that - a statement which many employees do not know exists. Those who do know of its existence are often unaware of what it actually means in practice and of how the achievement of the policy aims are to be measured, if at all.

2.2 The term "Equality Framework" has been used to emphasise that what has been created is more than a policy. It aims to be a supporting framework within which the SPCB can conduct its service provision and employment functions. For employees the framework provides structured policies and less formal guidance which should assist them in their service delivery role and in their capacity as employees and staff managers.

3. The Impact of "Mainstreaming"

3.1 The concept of a supporting framework within which the SPCB operates also sits easily with the idea of "mainstreaming".

3.2 The concept of "mainstreaming" is based on the philosophy that equalities considerations should inform all aspects of the work of all the individuals within an organisation as they go about their business. The mainstreaming of equality is the route to achieving an equality-based culture throughout an organisation. Mainstreaming does not, however, obviate the need for there to be equality expertise on which an organisation can draw not least to ensure that staff (and managers in particular) are able to identify the equality issues which impact upon their work.

3.3 Managers have a particularly important part to play, given their leadership, policy, decision-making and supervisory roles, in ensuring that the concept of equality of opportunity does permeate the culture, working environment and work of the Scottish Parliament. However, all staff must contribute - at the most basic level a member of staff would contribute by ensuring that s/he attends equal opportunities training, is familiar with the policies and guidance in the Equality Framework and complies with them. More proactive staff at all levels may take specific steps to assist with the implementation of the policies, whether that be by means of putting forward good ideas to enhance policy implementation or providing support to colleagues who are being harassed, bullied or victimised.

Given the importance of ensuring that equality of opportunity is a practical reality in relation to all aspects of the Parliament's employment and service delivery procedures and practices, and the fact that everyone has a role to play in this respect, it is important that there is some form of scrutiny of staff performance in this area. The most obvious way of doing this is through the appraisal system. If the contribution of all staff in this area is assessed routinely then this will assist with ensuring that equality of opportunity is "mainstreamed" within the organisation. This issue is discussed further at 5.2 and 5.3

4. Specific responsibilities of the SPCB

4.1 The SPCB, as an employer and service provider is responsible for displaying leadership and commitment to the principles and objectives set out in the documents which make up the Equality Framework. In putting the framework in place, it takes a large step forward. Ultimately, however, the SPCB is responsible for ensuring that equality of opportunity in employment and service provision is delivered - which cannot be achieved through a single act but only through an ongoing process. It will achieve this principally through the Chief Executive and other managers. However, given its overall responsibility, it is important that the SPCB ensures that it is kept informed of progress in relation to the implementation of the policies within the Equality Framework. Accordingly, responsibilities are imposed on Directors, through the policies, to report on progress to the Chief Executive who, in turn, will report to the SPCB on an annual basis. The Chief Executive is also responsible for putting forward proposals to the SPCB in relation to any further steps judged necessary or appropriate to ensure the principles set out in the Framework are implemented in practice. In this way, the effective implementation of the Policies will remain under review by the Chief Executive and the SPCB. In effect, a benefit of the reporting system is that equality issues will remain a focal point of activity and will not be allowed, inadvertently, to slip off the agenda.

4.2 The SPCB also, of course, bears responsibility for resourcing. The policies acknowledge, in particular, that training will be required to equip staff to fulfil their responsibilities. This is particularly true in relation to managers and it is envisaged that specialist training for managers will be provided in addition to the training which will be undertaken by all staff.

5. Specific responsibilities of managers

5.1 The policies within the Equality Framework contain provisions which set out the key responsibilities of all staff. Obviously, these responsibilities are as applicable to managers in their role as staff members as they are to other staff. However, the policies also set out specific responsibilities which are imposed on managers. In some cases, the policies impose responsibilities on those holding named posts (such as the Chief Executive, Director of Corporate Affairs, Head of Personnel or Equalities Manager) or those employed at a particular level within the organisation (for example, Directors). Where possible, responsibilities have been imposed specifically by post or management grade to ensure that individuals are clear about their responsibilities in the practical implementation process.

In the case of managers, it may be easier than for other staff to set specific objectives in this area to be met within agreed time-scales. This is in keeping with what is happening in some other public sector organisations. For example, in the higher levels of the Civil Service (Permanent Secretary level) staff have been given personal objectives in relation to the achievement of diversity and are accountable to Ministers for developing this area of their work. Achievement is measured through the appraisal system. Similarly, the Scottish Executive's Equality Strategy (produced in November 2000) deals specifically with the "incorporation of measurable diversity/equality objectives for individual managers".

5.3 The Policy on Equality of Opportunity and Treatment in Employment, which forms part of the Equality Framework, adopts the idea of appraisal being used to identify achievement in ensuring equality of opportunity within directorates and offices. Responsibilities and duties are set out for Directors and Heads of Office but it is not possible to set out specific measurable objectives for all managers within the Framework. In any event, these will change through time. Such objectives, however, can be framed within the scope of the responsibilities and duties set out in the Policy. The setting of specific initial objectives is part of the implementation strategy set out in the Equalities Action Plan, which will operate alongside the Equality Framework.

5.4 No policy will be truly effective until it becomes part of workplace culture. While all staff will receive equal opportunities training, managers will play an important role in ensuring that staff actually act in accordance with the policies within the Equality Framework and with managers' expectations. Managers also play a crucial role in keeping the issues of equality, diversity and discrimination on the agenda through team briefings or discussions and by encouraging good practice.

5.5 Managers involved in the recruitment and career advancement of staff have a key role to play in ensuring equality of opportunity. Specific guidance and training will be made available in relation to fair recruitment practices. A new job application form has been designed which allows for the removal of personal information before application forms are forwarded to a short-listing panel. This will help to minimise the risk of irrelevant information being taken into account, and discrimination occurring, during the recruitment process. Importantly, this also provides a degree of protection for managers who are involved in the recruitment process in the event of a legal challenge. It is also envisaged that this procedure will apply in both external and internal recruitment exercises.

5.6 Managers also have a particularly crucial role to play in ensuring that the Dignity at Work Policy is effectively implemented. Often, victims of harassment do not report it because they fear that:

they will be victimised by management and branded a "troublemaker",

Managers hold the key to ensuring that staff in the Scottish Parliament are not afraid to report harassment, victimisation or bullying and that staff do not fear the type of reactions set out above.

5.7 In the event of a legal claim being made, the SPCB is likely to be named as a respondent (defendant) since it will be alleged that the SPCB is vicariously liable for the actions of employees who harass or victimise others. However, there is a real danger that, if managers do not take appropriate and expeditious action when a complaint is made to them, they will be named personally as respondents in the event of a legal claim being made. If an informal complaint is made to you, your overall aim will normally be to try to sort the matter out in a low key way as quickly as possible. However, you need to bear in mind that sometimes a complaint will be of such a serious nature, with possible ramifications for the safety and well-being of other staff, that it would not be appropriate to deal with the matter through the informal complaint procedure, although the recipient may wish to proceed in that way. A specific procedure is set out to deal with such an eventuality. Specific training will be made available to assist managers to carry out their responsibilities in dealing with complaints.

5.8 Legally, employers can also be liable for harassment perpetrated by a third party (e.g. contract workers, maintenance personnel not employed by the SPCB, MSPs or those employed by MSPs) against an employee where the employer is in a position to prevent or control the extent of the harassment. Managers have an important role to play in ensuring that appropriate action is taken when individuals who are not employed by the SPCB but who are interacting with SPCB staff behave inappropriately. Again, this issue will be covered in the training which will be made available.

5.9 Managers also need to be particularly vigilant that they do not leave themselves open to allegations of victimisation (see the Dignity at Work Policy for a detailed definition). It is often management action which gives rise to legal claims of this type - for example, refusing to provide information sought for a reference because a discrimination claim has been lodged, refusing to conduct an appraisal because someone has made a claim etc. If in doubt - take advice from the Personnel and/or Legal Office.

5.10 Sometimes, managers are concerned that allegations of harassment or bullying will be made against them simply because they are doing their job and dealing with poor performance in an appropriate manner. On occasion, allegations of this type will be made but they are normally not difficult to identify - those investigating allegations will be alive to this possible motivation on the part of staff who make complaints. As the Dignity at Work Policy makes clear, managers are entitled to manage as long as they do so properly and fairly.

6. Monitoring and Positive Action

As the Monitoring Policy makes clear, we need to monitor outcomes for applicants, with particular characteristics, who apply for posts in the Scottish Parliament. We also need to constantly review, through monitoring, how staff from particular groups fare - in relation to promotion, pay, freedom from harassment etc. - once they are employed by the SPCB.

6.2 Once base-line information and trends are established, we will need to consider whether "positive action" measures beyond the scope of those already set out in the Equality Framework are required. Many organisations set "targets" in respect of recruitment of staff from particular groups to posts at specified levels within the organisation. These are often expressed in percentage terms. For example, some police forces have set percentage targets in relation to the recruitment and promotion of police officers from minority ethnic groups. The European Parliament Secretariat has set percentage targets in relation to the recruitment and promotion of women to higher occupational levels within the organisation while Manchester City Council has recently set out annual and six-year targets in relation to the recruitment of minority ethnic staff and disabled staff. Closer to home, the Scottish Executive has set five year targets for achieving equality targets in relation to recruitment/promotion of women, individuals from ethnic minority groups and disabled people. Targets are just that - something to aim for. They are not quotas which must be met. Quota setting would be unlawful. Target setting is lawful positive action aimed at redressing the effects of past discrimination.

6.3 While percentage target setting does not form part of the strategy set out in the Framework, it is a technique to which reference may be made in training materials to which managers have access. Ultimately, it may be considered as part of the Scottish Parliament's longer-term equality strategy.