Human Resources Division.Dot

Human Resources and Organisational Development Directorate Human Resources Division

T: 0131-244 3969 E: [email protected]  PERSONAL BY E-MAIL John Mauger [email protected] 

Our ref: FOI/13/02037 23 January 2014 Dear Mr Mauger

FREEDOM OF INFORMATION REQUEST

Thank you for your request dated 20 December under the Freedom of Information (Scotland) Act 2002 (FOISA) for the following information:

1. Could you please supply under the Freedom of Information Act the application forms used in the recent process (November 2013) to select the new incoming HMI for Scotland who will replace George Graham.

2. Could you supply any other forms that candidates were required to fill in and any other forms that were required as part of the process whether filled in by candidates or any other person; this could include but not limited to equal opportunities, guaranteed interview scheme, reference requests etc etc.

We have now completed our search for the information you request. You will wish to be aware that all Scottish Government recruitment processes are run in accordance with the Civil Service Commission Recruitment Principles. A copy of the Principles is available at: http://civilservicecommission.independent.gov.uk/

The HM Inspector of Constabulary for Scotland recruitment process was run using the Scottish Government Senior Civil Service on-line application form. I attach a WORD version of the on-line application form template at Annex A. Candidates were not asked to complete any other forms in connection with the selection process.

As part of the candidate sift and interview process a candidate summary sheet is supplied to the Recruitment Board. Blank copies are attached at Annex B. Finally the Board members are supplied with a Ranking Sheet at both sift and interview (Annex C) for their individual use and to serve as an aide-memoire when contributing to the Chair’s final Board Report (Annex D) and if they are required to provide feedback to candidates.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  If you are unhappy with this response to your request, you may ask us to carry out an internal review, by writing to the Director General Governance and Communities, R1 Spur, Saughton House, Broomhouse Drive, Edinburgh, EH11 3XD, email: [email protected]. Your request should explain why you wish a review to be carried out, and should be made within 40 working days of receipt of this letter, and we will reply within 20 working days of receipt. If you are not satisfied with the result of the review, you then have the right to make a formal complaint to the Scottish Information Commissioner.

Yours sincerely

CAROLYN MURDOCH HR: Senior Staff Team

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  ANNEX A

Vacancy Details Vacancy Reference Number IRCXXXX Job Title Enter Job Title Closing Date Enter Closing Date

Personal Details

Decisions regarding which candidates are selected for interview/assessment centre are based on the information you provide in your application form. We are unable to guess or make assumptions on the skills, knowledge, experience and qualifications you may have.

Please consider carefully the advert, person specification and general information for applicants, and any other information before completing the form.

Think about your skills, knowledge, experience and qualifications in relation to the selection criteria (job requirements) set out in the person specification. We use a competency based approach to selection, starting at the application stage. This means that you must demonstrate clearly, by using examples of what you have done or achieved in the past, how you meet the competencies and other selection criteria that we consider essential or desirable for the job.

Remember that information based on unpaid work at home or in the community can be just as valuable as information based on work.

How can you show that you have the skills, knowledge and experience necessary?  Your application form will need to show the appropriate skills, knowledge and experience you have gained.

Advice: Download the Person Specification and General Information for Applicants. Follow the application form and check for mistakes and revisions before you submit your application form. Remember your registration log in details so that you can review your application and account at any time.

Forenames (In Title: Surname: Full): Any other names by which you National Insurance have been known: Number:

Permanent Address including Post Code:

Address for letters (If different from above):

Telephone Number: E-mail Address:

Nationality at Birth: Present Nationality:

If YES give full details with dates here Have you ever possessed any ☐ ☐ other nationality or citizenship? Yes No

Are you free to remain and take Are you subject to Yes ☐ No ☐ Yes ☐ No ☐ up employment in the UK? immigration control? Do you require Do you need a work permit? Yes ☐ No ☐ Yes ☐ No ☐ sponsorship?

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  If YES please enter your Employee Number here Are you are an existing Scottish ☐ ☐ Government employee? Yes No

Are you employed in an Other If YES were you recruited through Open and Fair Government Department (OGD) Yes ☐ No ☐ recruitment? Yes ☐ No ☐ or NDPB?

Name If you answered yes to the last two questions please provide Telephone your current employers HR Details: E-mail

Working Pattern

Full-time ☐ Part-time ☐ Please tick your preferred working pattern If you wish to work part time or another pattern, please state details:

Advertising

Please indicate the media that prompted you to apply for the position:

Disability Statement (You need not answer these questions unless you wish to do so)

The Scottish Government participates in the "Positive about Disabled People" scheme. Under this scheme, all candidates who consider themselves to be disabled in terms of the Equality Act 2010, and who meet the essential minimum criteria for the post, will be guaranteed an interview. Where driving is stated as a requirement for the post, we are willing to consider any proposals put forward by disabled applicants, whose disability prevents them from driving, that would allow them to do the job by another means. Please give details on a separate sheet.

To access our disability fact sheet, please visit http://www.scotland.gov.uk/About/Recruitment/DisabilityFactsheet

Note: The Equality Act 2010 states that a person has a disability if they have a physical or mental impairment and the impairment has a substantial and long-term adverse effect on their ability to carry out normal day-to-day activities.

A 'substantial disadvantage' is a disadvantage which is more than minor or trivial. 'Long-term' means that the effect of the impairment has lasted or is likely to last for at least twelve months (there are special rules covering recurring conditions). Further guidance in relation to the meaning of disability is accessible on the Equality and Human Rights Commission website http://www.equalityhumanrights.com

Do you claim a guaranteed If you have a disability and are invited interview (further assessment) Yes ☐ to sit a test or attend an interview under the “Positive about No ☐ would you like any special Disability” scheme? arrangements made?

Educational and Professional Qualifications Type of Qualification Subject Educational Establishment (GCSE, Standard Grade, Grade Awarded Higher, Degree etc.)

Membership of Professional Regulatory Bodies

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  Registration Number / Level of Name of Organisation Renewal Date Membership

Present Employer Name of Reason for Leaving Organisation

Job(s) Held / Key Achievements

Employment History (Last Three Positions) Please give details concerning any previous employment (starting with the most recent). Please account for periods where you were not in employment by including other experience, for example voluntary experience, extended travel, and caring experience.

Name of Organisation Reason for Leaving

Job(s) Held and Key Achievements

Name of Organisation Reason for Leaving

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  Name of Organisation Reason for Leaving

(SCS) Availability for Assessment Centre Dates when NOT available.

(SCS) Conflict of Interest Are you aware of any possible conflict of interest which might arise, either personally in relation to your appointment or in relation to your connections with any individuals or organisations, should you be appointed?

Conflicts of interest are not normally a barrier to appointment as long as they are appropriately managed and/or resolved and this will be explored at interview. Guidance on conflict of interest is available from the Senior Staff HR Team.

If yes, please give details.

SCS – Salary Details Please provide current salary details below

Supporting Statement Please use this space to provide specific evidence based examples of how you meet the essential criteria, desirable criteria and competencies as set out in the job advert and further information, general statements are unlikely to provide sufficient evidence.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  References Covering the Previous Three Years

Reference 1 Type of Reference Employment / Academic

Name of referee

Email Address

Contract Address

Occupation

Date Started Employment Date Employment Ended

Name of referee

Email Address

Contract Address

Occupation

Name of referee

Email Address

Contract Address

Occupation

Declaration

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  By signing your application, if you are successful and agree to take up post, you are giving consent for the Scottish Government to carry out pre-employment checks and obtain the information as outlined in the Further Information Note.

I declare that the information I have given in support of my application is, to the best of my knowledge and belief, true and complete. I understand that if it is subsequently discovered that any statement is false or misleading, or that I have withheld relevant information, my application may be disqualified or, if I have already been appointed, I may be dismissed. By signing this application I understand I am giving consent for the Scottish Government to obtain the information as outlined in the Further Information Note.

The Scottish Government is under a duty to protect the public funds it administers, and to this end may use the information you have provided on this form for the prevention and detection of fraud. It may also share this information with other bodies responsible for auditing or administering public funds for these purposes. For further information, see www.audit- commission.gov.uk/nfi to see the Fair Processing full text or contact our HR Helpdesk on 0131 244 8500.

Please sign the box below if you have read and understood the above declaration and agree to these terms.

Name Date

Signature

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  Diversity Monitoring Form Name Date of Birth National Identity What do you consider your national identity to be? Please choose ONE answer from the list below.

Scottish English Welsh Irish British Other Prefer not to say If Other, how would you describe your national identity?

Ethnicity What is your ethnic group? Choose ONE section from A to E and then click on the appropriate box to indicate your ethnic group. A – White British Any Other White background

If you selected “Any Other White background” please specify:

B – Mixed Any Other Mixed background, please specify:

C - Asian, Asian Scottish or Asian British Indian Pakistani Bangladeshi Chinese Any Other Asian background

If you selected “Any Other Asian background” please specify:

D - Black, Black Scottish or Black British Caribbean African Any Other Black background

If you selected “Any Other Black background” please specify:

E - Other ethnic group Any Other Mixed background, please specify:

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  E – Prefer Not to Say Prefer not to say

Disability Do you have any health condition or Yes No disability? If yes, has it lasted or is it expected Yes No to last 12 months? Does this have an adverse effect on Yes No your day-to-day activities? If you have answered ‘Yes’ to all Hearing Impairment Visual Impairment three of the questions above then Speech Impairment Mobility please also tell us which of the Physical Co-ordination Physical Capacity following categories best describes Severe Disfigurement Learning Difficulties the nature of the disability. Mental Illness Other Prefer not to say If you selected “Other” please specify:

Religion Please select the Religion that best None Church of Scotland Roman Catholic applies to you. Please choose ONE Other Christian Buddhist Hindu Muslim answer from the list. Jewish Sikh Pagan Prefer Not to Say Other If you selected Other please specify:

Sexual Orientation Please select the sexual orientation Bisexual Gay Man Gay Woman/Lesbian that best applies to you. Please Heterosexual/Straight Other Prefer Not to Say choose ONE answer from the list. If you selected Other please specify:

Gender Please select the gender that best Male Female Prefer Not to Say applies to you. Please choose ONE answer from the list.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  ANNEX B

CANDIDATE SUMMARY SHEET (SIFT)

No Name Job Title Employer Current Panel Short Notes Salary Mark List 1 2 3 4 5

NOTE FOR BOARD MEMBERS DECLARATIONS OF CONFLICT OF INTEREST

The Further Information Note for Candidates in external competitions and the Trawl Notice for internal or civil service-wide advertised posts, draws candidates’ attention to the requirement for any potential conflict of interest to be declared in the section provided on the application form. The Board is required to follow up at interview any declarations made to establish whether or not there is a way to avoid any conflict or potential for conflict should the candidate be successful. In most cases there will be a workable solution but it must be raised at interview.

At this stage in the process the following candidates have declared a potential conflict of interest:

Candidate Name Details number

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  CANDIDATE SUMMARY SHEET (INTERVIEW)

No Name Job Title Employer Current Panel Notes Salary Mark 1 2 3 4 5

NOTE FOR BOARD MEMBERS DECLARATIONS OF CONFLICT OF INTEREST

The Further Information Note for Candidates in external competitions and the Trawl Notice for internal or civil service-wide advertised posts, draws candidates’ attention to the requirement for any potential conflict of interest to be declared in the section provided on the application form. The Board is required to follow up at interview any declarations made to establish whether or not there is a way to avoid any conflict or potential for conflict should the candidate be successful. In most cases there will be a workable solution but it must be raised at interview.

At this stage in the process the following candidates have declared a potential conflict of interest:

Candidate Name Details number

ANNEX C

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  SIFT RANKING SHEET

<> SIFT RANKING SYSTEM

 The Panel will commence by sharing views on each candidate and reaching a provisional view in terms of the following categories:

A - strong candidate for progression on basis of application B - possible for progression C - not strong enough to progress

 If uncertain as between A and B, then B+ is acceptable for this first stage of consideration.

'Progression' to the next stage will either be to assessment centre and interview or, if large numbers remain in the top category, to a further shortlisting stage - in normal course only 'A' or possibly 'B+' candidates would progress.

 Having completed this initial consideration for all candidates stock will then be taken of the outcome, markings refined where appropriate and position finalised.

 Please note that candidates must show evidence of all essential criteria to proceed to the next stage.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  SIFT RANKING SHEET

«POST»

CANDIDATE NAME ……………………………………………….

Category Comments Provisional A/B/C Ranking Essential criteria (Yes/No)

«Essential qualifications/experience»

Essential criteria

«Competency 1» «Competency 2» «Competency 3» «Competency 4» «Competency 5» Desirable Criteria

«Competency » «Competency » «Competency » «Competency » Provisional Overall Candidate Ranking:

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  INTERVIEW RANKING SHEET 

IN CONFIDENCE

ASSESSMENT FORM (CHAIRMAN AND MEMBERS)

Candidate ......

Please clarify strengths and weaknesses to explore (complete before interview).

Notes of interview.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  Board Assessment

Please give a score for each of the under noted competencies/behaviours and comment on the evidence. Scoring basis is:-

A. Excellent skills and understanding demonstrated. B. Good skills and understanding. C. Borderline D. Development requirements

1. «Competency 1»

A B C D

Comments:-

2. «Competency 2»

A B C D

Comments:-

3. «Competency 3»

A B C D

Comments:-

4. «Competency 4»

A B C D

Comments:-

5. «Competency 5»

A B C D

Comments:-

6. «Competency 6»

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  A B C D

Comments:-

7. «Competency 7»

A B C D

Comments:-

8. «Competency 8»

A B C D

Comments:-

Overall Final Board Score

Please provide an overall Interview Board Score:-

A B B/C C D

Special Circumstances

Are there any special circumstances that may have affected candidate performance to be taken into account for the record?

For example interruption during interview, candidate feeling unwell etc? Please provide details as this may be taken into account should the candidate appeal against the Board’s decision.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  ANNEX D

RESTRICTED – APPOINTMENTS

INTERVIEW BOARD -

1. BOARD

2. BUSINESS To recommend a candidate to fill the appointment of . The post became vacant when the previous post holder .

3. FIELD The post was advertised in . There were Applicants. The sift took place on .

It was decided to interview candidates.

Each candidate was interview on:

4. RECOMMENDATION

The Board, which met on interviewed candidates and recommended for appointment.

Pen pictures of each candidate’s performance at interview, along with the board mark are attached at Annex A. Performance was assessed against the following competencies:

1. ENTER SIFT COMPETENCIES

The key to the marking scale was as follows:

Mark Scale (based on areas being explored)

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  A. Excellent skills and understanding demonstrated. B. Good skills and understanding. C. Borderline. D. Development requirements

Conflict of Interest

Please record here any discussions with candidates on potential conflict of interest if they are offered the post. A note should also be made of proposed ways to avoid such conflict arising once in post.

Special Circumstances

Are there any special circumstances that may have affected candidate performance to be taken into account for the record?

For example interruption during interview, candidate feeling unwell etc? Please provide details as this may be taken into account should the candidate appeal against the Boards decision.

Chairman ...... Date ......

Approved by ...... Date ......

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk  This page would be used for pen pictures for each candidate interviewed. A pen picture would normally start with a brief summary of the individual’s background, and would culminate in a report on his/her performance at the interview.

Saughton House, Broomhouse Drive, Edinburgh EH11 3XD www.scotland.gov.uk 