The Scottish Parliament: - Scottish Parliamentary Corporate Body - Equality Framework

1.1 In implementing the policies contained within its Equality Framework, the Scottish Parliamentary Corporate Body (SPCB) hopes to ensure genuine equality of opportunity and treatment for all staff, job applicants and service users. This means that it is necessary to monitor the effectiveness of the policies within the Framework.

1.2 Codes of Practice produced by the Equal Opportunities Commission, the Commission for Racial Equality and the Disability Rights Commission suggest that there should be regular monitoring to assist an employer in assessing the effectiveness of a policy and to identify areas where improvement may be required.

1.3 Monitoring involves collecting information about relevant characteristics of current staff so that it is possible to measure changes which may occur in the future. In this context, the relevant characteristics are those which the policies within the Equality Framework make clear are not to be used to disadvantage staff in the workplace. These characteristics are: gender, gender identity, sexual orientation, marital and family status, racial group (which includes a group defined by race, colour, nationality, ethnic or national origins), disability, part-time status, age (subject to the imposition of a retirement age), religion and trade union membership/non-membership/activities. Information will also be sought on the grade and office of each staff member who completes the form. This will allow identification of job areas and levels within the Scottish Parliament staff group where individuals with particular characteristics are concentrated or, notably, absent. It will also allow for identification of offices where the career progress of staff with particular characteristics may be different from that which might be expected. It is only if this type of profile is available that problems can be identified and remedial action taken, if necessary, although it should be noted that any such action will not be of a type which would amount to unlawful discrimination.

1.4 It must be stressed that the provision of this information is on an entirely voluntary basis by staff, although you will still be required to return the form to the Personnel Office even if you have not provided any information on it. This is for statistical purposes. You will not be required to identify yourself by name on the form. The forms will be returned to the Personnel Office in sealed envelopes which will not be opened by Personnel Office staff. All sealed envelopes will be sent to an external analyst who will produce a report for the Personnel Office containing information relevant to the effectiveness of the Equality Framework. Thereafter, the forms will be returned to the Personnel Office in sealed envelopes and will be held in these envelopes in secure conditions by the Head of Personnel. No one within the Parliament will be allowed access to these forms. It is appreciated, in particular, that some staff may not have disclosed the fact that they are gay, lesbian, bisexual or transgender. Information on sexual orientation or gender identity (covering those individuals who are transgender) is particularly relevant in a monitoring context if individuals who are gay, lesbian, bisexual or transgender have disclosed or intend to disclose their sexual orientation (or gender identity) in the workplace. If this information is not known in the workplace then it is less likely to affect the way in which someone is treated at work (although one cannot rule out the possibility that 1.5 - 2.3

an individual who is, for example, a gay may be subject to adverse treatment because others suspect he is gay even although he has not made this clear). In saying this, the SPCB, as the employer of staff in the Parliament, is determined to ensure that the environment within the Scottish Parliament is such that staff will not feel inhibited from disclosing their sexual orientation or gender identity, should they wish to do so.

1.5 For those who may be concerned about providing personal information of the type sought on the annual monitoring audit form, it is hoped that the use of an external analyst and the fact that staff will not be expected to identify themselves by name on the form will act as a reassurance. It should also be borne in mind that it is only by carrying out such an "audit" that an accurate profile of the current workforce in the Parliament can be gained and any changes which occur over time can be measured.

1.6 Monitoring information will also be gathered during external and internal recruitment processes and during the exit interview process. These measures will allow checks to be carried out to ensure that there is no discrimination in these aspects of the Parliament's procedures.

1.7 Staff who consider that they have a disability will be asked to complete an additional form, on a named basis, so that the SPCB can ensure that any reasonable adjustments which may be required to assist such staff are made. The completion of this form will also be on a voluntary basis.

2.1 Annual Equal Opportunities Audit for Current Staff: An audit to establish the Scottish Parliament's "base line" profile in respect of current staff will be carried out by means of an equal opportunities monitoring audit form (see Appendix A). This form also contains questions designed to elicit how individuals are being treated in key respects within the workplace. Any information provided will be treated in the manner set out at paragraph 1.4 above. It will be used solely for the purpose of monitoring the effectiveness of the policies within the Equality Framework.

2.2 In designing the monitoring policy, careful consideration has been given to the procedure which needs to be adopted to ensure that the information sought can be provided on an anonymous basis. Trends can only be identified in such circumstances if the relevant information relating to the experiences of staff is gathered on an annual basis and matched to the characteristics set out in the Equality Framework (such as gender, race etc). Accordingly, an equality audit will be conducted on an annual basis.

2.3 Recruitment Audit: Monitoring data will be collected from internal and external job applicants. This will be done by means of a recruitment monitoring form, which will be detached from application forms by an individual in the Personnel Office who is not involved in the selection process, before they are forwarded to those carrying out the short-listing exercise for the post (see Appendix B). This will allow an analysis of the range of people, with reference to the characteristics identified in the Equality Framework, who apply for jobs within the Scottish 2.4 - 3.2

Parliament. This, in turn, will help to identify whether candidates from particular groups do not apply for jobs within the Parliament or fail to be shortlisted/interviewed. Remedial action can then be considered, as appropriate. Those carrying out the shortlisting and interview process will be provided with application forms identified by number rather than personal characteristics.

2.4 Any information on the recruitment monitoring form which is necessary to ensure that reasonable adjustments are made in respect of disabled candidates will be noted elsewhere on the application form so that it is forwarded, as appropriate, to those involved in the shortlisting and/or interviewing process.

2.5 Annual Disability Audit: Staff could become disabled at any point during the course of their employment at the Scottish Parliament. This means that an update audit will require to be undertaken on an annual basis to elicit the number of staff who consider that they have a disability at that point of time (see Appendix C). (Staff and job candidates will also be issued with a guidance note (see Appendix D) which will provide information about the definition of "disability" as set out in the Disability Discrimination Act 1995.) As part of this audit process, information will also be sought on whether the staff concerned consider that there are any reasonable adjustments which could be made on behalf of the SPCB which would assist them in carrying out their duties. The SPCB wishes to ensure that disabled staff are given appropriate support including access to aids and technical equipment available, or which may become available in the future, which would assist them in performing their duties. To enable that support to be provided, staff will be asked to identify themselves by name in completing this monitoring form. Any information provided will only be used for monitoring purposes and to ensure that the SPCB complies with its obligations as an employer under the Disability Discrimination Act 1995 as well as providing a supportive working environment for the staff concerned. While the final decision on whether to provide this information will rest with the member of staff concerned it should be noted that the provision of appropriate support, including arranging any reasonable adjustments, will not be possible if it is not known that a member of staff has a disability.

3.1 The following activities, in particular, will be assessed with reference to the implementation of the Equality Framework:

3.2 These activities will be used by the SPCB as "key equality indicators". By assessing the impact, if any, of the factors falling within the scope of the equal opportunities policy, upon these activities the SPCB will be able to determine whether its equal opportunities policy is working in practice.

4.1 The Equalities Manager and Personnel Office will be responsible for ensuring that the outcome of all of the above activities is analysed by reference to the monitoring data available through the medium of an external analyst.

4.2 On an annual basis, the Equalities Manager will provide to the Director of Corporate Affairs a report which will provide a full statistical analysis of the outcome of the activities set out in section 3 by reference to the characteristics in respect of which monitoring has been undertaken. The report will also set out issues of concern which have been identified, by the Equalities Manager, the Personnel Office and by the recognised trade unions within the Scottish Parliament, as a result of the monitoring exercise, and proposals for remedial action.

4.3 Prior to the formulation of the report required by section 4.3, the Equalities Manager will provide the recognised trade unions within the Scottish Parliament with a copy of the statistical analysis arising out of the monitoring process. Thereafter, the Equalities Manager will consult with the trade unions with a view to identifying any matters arising from this analysis, together with any proposals for remedial action, which the trade unions would wish to be identified in the report required by section 4.3.

4.4 The report required by section 4.3 will be presented to the SPCB, together with any comments thereon and an analysis of the financial implications of the proposals made for remedial action.

5.1 A Staff Attitude Survey will be conducted, as part of the annual equal opportunities monitoring exercise, to elicit the views of staff on progress made to ensuring equality of opportunity and treatment for all staff and to identify any issues of concern to staff. The Survey will also provide an opportunity for staff to identify any initiatives which would assist with securing equality of opportunity for all staff.

6.1 Each permanent member of staff who resigns from employment will be offered the opportunity to attend an exit interview with a member of the Personnel Office. At this interview, the staff member will be given the opportunity to comment on whether he/she considers that the policies within the Equality Framework were effectively implemented in relation to him/her during the course of employment at the Scottish Parliament.

6.2 During staff appraisals, all staff will be asked about any positive contributions which they may have made in the period under review to the implementation of the policies within the Equality Framework. They will also be given the opportunity to comment on whether they consider that their own treatment as an employee is in 6.2

accordance with the policies within the Framework. If an employee is of the view that he/she is not being treated in a manner which is consistent with the policies in the Equality Framework the matter will be drawn to the attention of the Personnel Office who will invite the staff member concerned to discuss the matter further. Appendix A

DRAFT EQUAL OPPORTUNITIES MONITORING QUESTIONS TO COLLECT INFORMATION RELATING TO KEY EQUALITY INDICATORS: WORK HISTORY IN THE PAST YEAR

(d) If you were successful, was your progression within the office where you already worked?

(e) If you have been promoted to a post in another office in the last twelve months, do you consider that your career progression prospects in your previous office were affected by any personal factors which fall within the scope of the Parliament's Equality Framework (i.e. your gender, gender identity, sexual orientation, marital or family status, racial group (including race, colour, ethnic or national origin, nationality), disability, part-time status, age, religion or trade union membership/non-membership/activities)? If yes, please specify which factor you consider may have affected your promotion prospects.

(a) What numerical appraisal marking did you receive in any staff appraisals conducted during the last 12 months?

(b) Do you consider that any of the personal factors which fall within the scope of the SPCB's Equality Framework (see question 1(e) for a list) affected your appraisal grading?

(c) If the answer to question (b) is yes, please specify which factor(s) you consider may have affected your grading and why

(a) Have you been the subject of an investigation under the provisions of the disciplinary policy during the last twelve months? If the answer is "No" you can proceed to question 4.

(b) If so, were disciplinary allegations, in fact, made against you after the investigation?

(d) If the answer to (c) is "yes", was any action taken against you under the disciplinary procedure?

(e) If the answer to (d) is "yes", please specify what type of disciplinary penalty was applied (e.g. written warning).

(f) If you were the subject of an investigation or hearing under the disciplinary procedure, do you consider that any of the personal factors falling within the scope of the SPCB's Equality Framework (see question 1(e) for a list) affected your treatment?

(g) If the answer to (f) is "yes", please specify which factor you consider was taken into account and why you have reached this view.

(h) If you were the subject of a disciplinary penalty, do you consider that any of the personal factors falling within the scope of the SPCB's Equality Framework affected the level of disciplinary penalty in your case?

(i) If the answer to (h) is "yes", please specify which factor you consider was taken into account and why you have reached this view.

Questions will be asked in this section which relate to the member of staff's involvement in any grievance proceedings during the past twelve months. In particular, this section will ask questions about the outcome of these proceedings and whether the member of staff considers that any of the factors falling within the scope of the Equality Framework affected the decisions made during these proceedings.

(a) Has your manager refused to allow you to attend a training course within the last 12 months? If the answer is "no" please go to question 6.

(b) If the answer to (a) is "yes" what reason did your manager give for this refusal?

(c) Do you consider that any of the personal factors falling within the scope of the SPCB's Equality Framework (see question 1(e) for a list) affected this decision? If so, please specify which factor(s) you consider were taken into account and why you have reached that view.

(a) Do you consider that, during the last 12 months, you have suffered any of the following (please tick as appropriate):

contrary to the SPCB's Dignity at Work Policy? (If you have not ticked at least one type of behaviour, you can proceed to question 6)

(b) If the answer to (a) is "yes", please specify whether the person(s) who behaved toward you in this way was someone who had managerial authority over you or was at the same (or lesser) grade as you within the staff structure. If the person who behaved towards you in this way was an MSP or an individual employed by an MSP, please specify this.

(e) If the answer to (c) is "yes", do you consider that your complaint was properly and sensitively handled?

(f) If the answer to (e) is "no", what could have been done to improve the manner in which your complaint was handled?

(g) If you consider that you have suffered harassment, please specify the factor(s) falling within the scope of the SPCB's Equality Framework which you believe may have influenced your treatment.

(a) Do you consider that during the past 12 months you have suffered discrimination, or harassment, victimisation or bullying (as defined in the Dignity at Work Policy) at work as a result of the fact that you were/were not a member of a trade union or because you have engaged in trade union activities?

(b) If the answer to (a) is "yes", please specify the nature of the behaviour which you consider amounted to discrimination/harassment/victimisation/bullying.

(c) If the answer to (a) is "yes", was it someone who had management authority over you who acted in the manner specified?

(d) If the answer to (a) is "yes", do you think you were treated in this way because (please tick as appropriate):

(e) If the answer to (a) is "yes", did you make a formal or informal complaint about the behaviour? If not, why not?

(a) Apart from matters already set out above, do you consider that, during the past 12 months, any of the factors falling within the scope of the SPCB's Equal Opportunities and Treatment Policy (see question 1(e) for a list) may have been used to discriminate against you?

(b) If the answer to (a) is "yes", please specify the factor(s) involved and the circumstances in which you believe you suffered discrimination (e.g. exclusion from social events because of disability).

(c) Do you think that the SPCB is doing all that it reasonably can as an employer to ensure the practical implementation of the policies within its Equality Framework?

(d) If the answer to (a) is "no", what additional steps do you think that the SPCB could take?

(e) Do you consider that progress has, in fact, been made over the last 12 months in implementing the SPCB's commitment to ensuring equality of opportunity for all staff?

(f) If the answer to (e) is "no", on what basis have you reached that conclusion?

(g) Do you have any other comments or ideas to contribute which would assist with the proper implementation of the policies set out in the SPCB's Equality Framework? More generally, do you have any other comments (positive or negative) on the subject of equality of opportunity and treatment within the Scottish Parliament? Please bear in mind that it would be helpful to know if you think we are getting it right in any particular respect as well as to know how you think we could improve on our performance.

If you have completed this form THANK YOU VERY MUCH. Your co-operation means that we can assess whether we are making progress in the attainment of equality of opportunity and treatment. Whether or not you have completed this form, you should return it to the address on the envelope provided which is marked "private and confidential".

DRAFT PERSONAL DETAILS AND EQUAL OPPORTUNITIES MONITORING FORM FOR JOB APPLICANTS

The explanation below could be set out on a separate sheet if preferred rather than as part of the actual application form.

The Scottish Parliamentary Corporate Body (SPCB), as the employer of staff in the Scottish Parliament, is committed to promoting equality of opportunity and treatment and eliminating unfair discrimination in its employment practices. It will seek to ensure that all job applicants and employees are treated fairly, with respect and without bias. No job applicant or employee will receive less favourable treatment than others because of her or his gender, gender identity, sexual orientation, marital or family status, part-time status (unless such treatment is objectively justified), racial group (includes colour, race, nationality, national or ethnic origin), religion, disability (unless such treatment is objectively justified,) age (subject to the operation of a retirement age policy) or trade union membership/non-membership/activities.

As part of the implementation of this policy, you are asked to complete the first section of this application form. This will be detached from the form, by an individual who is not involved in the shortlisting process, before the form is sent to those conducting the shortlisting. The information provided on the detachable portion of the form will be used for the purpose of monitoring the effectiveness of the SPCB's equal opportunities policy and will not be available to the shortlisting/selection panel except for:-

1. Information relating to a disability, but only where this is relevant in that reasonable adjustments may require to be made to the shortlisting and/or interview process to ensure compliance with the provisions of the Disability Discrimination Act 1995, (and the commitment given under the Disability Symbol Scheme to interview all candidates with a disability who meet the minimum requirements of the post - if the scheme is adopted). In such circumstances, the relevant information only will be transferred from the detachable portion of the form onto the portion of the form which will be forwarded to the shortlisting/interview panel.

You can be assured that the information sought in the detachable portion of the form will be treated in the strictest confidence.

The following would be included in the first (detachable) part of the job application form subject to amendment to fit in with the overall form/style of the document

The SPCB, as the employer of staff within the Parliament, has a policy on the Employment of People with Disabilities which forms part of its Equality Framework. As part of that policy, the SPCB is committed to ensuring that disabled staff are treated fairly and that all reasonably practical steps are taken to provide any support which may be required to staff who have a disability. The type of support available could involve the provision of special equipment to assist with the performance of duties or other reasonable adjustments to working conditions.

Obviously, if the SPCB, as your employer, is unaware of the fact that you have a disability, this could mean that it is not possible to provide the type of support which could make your working life, and the performance of your job tasks, easier. It is for this reason that you are asked to identify yourself by name on this form. The information which you provide will be treated as confidential and held securely within the Personnel Office. It will only be released on a need to know basis. Ultimately, however, it is for you to decide whether you wish to declare any disability which you may have. You are not obliged to do so.

The Disability Discrimination Act 1995 introduced a legal definition of "disability". It is that definition which the SPCB has adopted. Under the terms of the Act, a disability is defined as :-

"A physical or mental impairment which has a substantial and long term adverse effect on a person's ability to carry out normal day to day activities".

The attached guidance note provides further information about this definition and what may fall within it. You should note that if you are taking medication which reduces the effects which your disability would otherwise have you may still be disabled - any positive benefit you derive from medication is to be left out of account in assessing whether you have a disability.

If you believe that you have a disability which may fall within this definition, we would like you to provide the following information:-

1. Type of Disability -please tick box(es) to indicate all of the disabilities which you may have.

2. It may be that you have a medical condition with a specific name (e.g. multiple sclerosis or epilepsy). To aid our understanding, if you are prepared to name any condition which affects you, please do so here:-

3. Support - As a person with a disability, is there anything more which you consider that the SPCB, as your employer, could do to support you in your work? If so, please set out your ideas:-

4. Involvement of line manager - do you wish the information which you have provided on this form to be passed to your line manager, if s/he is not already aware of the position? Please tick as appropriate:

5. Option of meeting with Personnel Officer - the SPCB wishes to ensure that everything possible is done to ensure that you can develop and use your abilities to the full. There may be more support available than you realise. If you would like to meet with a Personnel Officer to discuss matters further, please indicate by ticking below:

Thank you for taking the time to complete this form. Please return the completed form to the Head of Personnel in an envelope marked "private and confidential".

The Disability Discrimination Act 1995 defines a disability as a "physical or mental impairment which has a substantial and long term adverse effect on a person's ability to carry out normal day to day activities"

The following guidance may be of assistance to those who have been requested to complete a document which asks them to consider disclosing the fact that they have a disability.

Impairment - the word "impairment" covers both physical and mental impairments. This includes sensory impairments affecting sight or hearing. Severe disfigurement is also covered. This can include scars, birthmarks, limb or postural deformation or skin diseases.

Mental impairment covers a wide range of impairments, including clinically recognised mental illness (e.g. schizophrenia, clinical depression) and what are often known as "learning disabilities".

Substantial - the word "substantial" does not have the meaning one might expect in this context. The requirement that an impairment should have an adverse effect which is "substantial" is designed to reflect the general understanding of "disability" as a limitation going beyond the normal differences which may exist among people.

A "substantial" effect is one which is more than "minor" or "trivial". Sometimes a person may be taking medication which helps to reduce the impact which an impairment has upon him or her. Where that is so, the impact of the impairment on the person should be judged leaving out of account any benefits which result from the medication.

Normal day to day activities - these are the type of activities which people would commonly do on a regular basis. They do not include work of a particular type because no particular form of work is "normal" for most people. An impairment will be treated as affecting a person's ability to carry out normal day to day activities if it affects one of the following:-

· Mobility - this covers moving or changing position in a wide sense. An impairment which has a substantial effect on mobility may make it difficult for you to get around unaided (which may mean you have to use a stick, wheelchair or crutches). It may also affect your ability to use public transport or travel by car, or your ability to walk a short distance or climb stairs, stand or sit for a reasonable period of time, bend or reach for things.

· Manual dexterity - this covers the ability to use hands or fingers with precision. An impairment which has a substantial effect upon manual dexterity may affect your ability to write or type on standard machinery, pick up or manipulate small objects, operate machinery, sew/knit etc.

· Physical co-ordination - this covers balance and effective interaction of body movement, including hand and eye co-ordination. An impairment which has a substantial effect upon physical co-ordination could affect your ability to put food in your mouth without an unusual degree of concentration or prevent you walking and using your hands at the same time.

· Continence - an impairment which affected continence would make it difficult or impossible to control urinary or bowel functions.

· Ability to lift, carry or otherwise move everyday objects - everyday objects would include items like books, a kettle of water, a bag of shopping, a briefcase, an overnight bag, a dining room chair or a moderately loaded tray.

· Speech, hearing or eyesight - this covers the ability to speak, hear or see and includes face to face, telephone and written communication.

Impairments which have an indirect effect on a person's ability to perform normal day to day activities are also covered. For example, someone may be able to do a particular thing but suffer pain, fatigue, loss of breath etc. because of an impairment so the activity cannot be repeated when this would otherwise normally be possible. Such an impairment would fall within the definition - this could include asthma, diabetes, cancer, muscular dystrophy, multiple sclerosis, HIV/AIDS. Similarly, account can be taken of the fact that a person with a mental illness (such as depression) may have the physical ability to perform a task but, in practice, be unable to sustain the activity over a reasonable period.

We hope this information is of assistance. If you want to talk matters over further before completing any form which asks whether you have a disability you may wish to contact the Equalities Manager or Personnel Office at the Scottish Parliament. You might also find it helpful to get in touch with an Employment Service Disability Employment Adviser who will be able to assist you further (Tel: 0131 456 5530, Minicom: 0131-456 5336).