Public body board recruitment: thematic review - Appendices

Twelve responses were received from 10 Welsh Government Partnership Teams, as 1 Partnership Team has responsibility for 3 PBs.

Fifteen responses were received from 14 PBs as 2 senior leads from National Academy for Wales (NAEL) submitted a response.

Ninety-nine responses were received from 88 Board members on the PBs in the Survey List, the average (median) number of Board members responses per PB was 3.

Of the 22 ALBs which engaged, 15 responses were from Welsh Government Sponsored Bodies (WGSB) and 7 from companies owned by Cabinet Secretaries. Two responses were from non-ALBs and 3 from Independent Public Sector Delivery Partners, the National Park Authorities.

Most of the questions were non-mandatory and allowed multi-choice options and therefore the number of respondents on each question differed and did not necessarily equate to total responses received. For instance, a single respondent could select all the options, resulting in more responses than respondents on a particular question. A respondent could also refrain from answering when further information was required on a previous response, which affected both the response and respondent count. Thus, either the number of respondents and number of responses, or in some instances both, are stated to clarify the percentage calculations used to quantify some of these responses. Notwithstanding these calculations, all comments have been considered by the Public Bodies Unit.

‘Board member’ is used to also include Panel members and Commissioners, as the latter two only included a small number of respondents.

‘Other Boards’ indicate Board / Panel, as well as Commissioners of Public Bodies not included in the Survey List.

‘Survey list’ in the text and diagrams refer to the Welsh Government Public Bodies who were invited to take part in this review, as shown in Appendix 1.

Common threads were gathered from comments and feedback to make the report a bit more succinct, however some quotes are included to reflect the richness of the responses.

Where a respondent or their organisation is identified in the text, this is with their explicit consent.

Links to the 2 surveys are as follows:

PB leads and Partnership Teams’ survey

Board members survey

No further results on these surveys are captured. However, a mandatory question is denoted with an asterisk, and you will need to select an answer to view the rest of the questions, or you could select different page numbers in the top right corner

1. Preparatory work

Public Appointments Team:

• identifies vacancy from ‘forward look’ sheet 12 months in advance.
• contacts Partnership Team to advise campaign which may need to be run.
• contacts again 9 months in advance, send campaign forms and confirm campaign manager and first point of contact.

Partnership Team:

• is sent templates to complete in preparation of the new campaign commencing.
• provides text for post to be advertised.

Public Appointments Team:

• engages with contact Golley Slater about marketing and publicity and seeks a quote to advertise the appointment.

Partnership Team:

• Partnership Team completes the MA for PAT to clear as being compliant with the Governance Code  on Public Appointments and sends to the Cabinet Secretary / Minister with the relevant campaign documents.
• provides the MA clearance number for regulated bodies.

2. Cabinet secretary / minister to agree campaign before any further action is taken

Public Appointments Team:

• PAT advertise the vacancy on Cais (WG’s recruitment portal). Link sent to diversity contacts, any contacts suggested by the Cabinet Secretary / Minister, and to the Partnership Team for them to advertise through the Board’s own channels.

3. Cabinet secretary / minister to confirm if satisfied with field of applicants prior to sift taking place

Public Appointments Team:

• When application deadline has passed, PAT compiles a long list for the cabinet secretary / minister with a brief description of candidates’ experience and diversity data.

Public Appointments Team:

• sends sift report template and name-free applications to Panel; Panel to return completed sift report.
• carries out due diligence on receipt of sift report, and forward results to the Partnership Team.

Public Appointments Team:

• sends sift documents and recommendations for interview to the cabinet secretary / minister in a follow-up email to the initial MA approval.

4. Cabinet secretary / minister to confirm they are content for interviews to take place

Partnership Team:

• allocates interview slots for PAT to send letters to candidates.

Public Appointments Team:

• contacts all candidates to confirm if they have/not been invited to interview.  All candidates receive their letter on the same day.
• provides feedback on request.
• aims is to send letters for interview at least 2 weeks prior to the interview date.

Public Appointments Team:

• sends all relevant documents to the Advisory Assessment Panel.
• monitors return of all completed documents from the Panel post-interview. Must ensure there is a choice of candidates available to the cabinet secretary / minister.
• undertakes ‘light touch’ due diligence checks.
• sends interview report with a draft Appointment letter for the cabinet secretary / minister’s signature, and awaits their comment and preferred candidate.

5. Cabinet secretary / minister confirms candidate(s) to be appointed

Public Appointments Team:

• contacts the successful candidate via telephone.
• sends letters to all candidates to confirm their position.
• sends feedback on request.
  • If candidate appointable, but unsuccessful at interview, their details will be held on a ‘talent bank’ for 12 months. If candidate deemed not appointable, they will be given links to training which may assist them with future applications.
• if a significant appointment, begins the pre-appointment hearing process and provides a bilingual briefing for the Clerk of the Senedd Committee.
• ensures collection of signed acceptance forms from successful candidates.
  • For health appointments, vetting for the post is undertaken by NHS Shared Services.
• publishes the decision report and closes the campaign.

Organisational mission, vision, values
Corporate strategy and business plans
Key strategies and policies
Principles of corporate governance
Role of Board members
Governance framework
How the organisations fits into the wider system
Scrutiny skills and techniques
Managing risk proportionately
Understanding budgets reports and how to scrutinise them
Familiarisation with the business
Key HR policies.

Depends on the person's experience. In-depth knowledge of the organisation is key but giving new members (especially inexperienced ones) good governance principles is equally important.

Knowledge of your responsibilities, procedures regularly undertaken and expectations of your role.

Should include number of staff, and organisation chart, number of collection items, average number of visitors, overview of the types of material collected and volume of each type, overview of services provided along with comparative scale of each service and any order of priority to the services and benefits the service provides. Charities commission publications were provided but the information the charities commission says a Board member should know was not provided. Upon starting the new position, it did not seem appropriate to detail all the missing information.

The role of the Board member. Being a critical friend but understanding the difference between Executive Officers and Board members; time commitment, making time to get to know the organisation and possible extra involvements.

Not simple just to reel off here: for good coverage I suggest you get the new member induction outline from the [Public Body's] governance team and PCNPA team (undoubtedly there are other good practice examples out there amongst WG bodies and other national as well as international bodies - please don't solely confine your examples to Wales).

Very much depends on the organisation concerned.

A summary of the last 12 months decisions.

Who, what, where, when and how of the organisation
Relevant legislation and data
EDI, Information assurance, Health and Safety.

My induction included a great deal of useful information about the organisation, what it does, its structure, risk, meeting organisation, etc. This was essential as I was new to the organisation, though I had worked with it in the past, and not a previous Board member. I have since attended diversity training.

Fiduciary and other accountabilities. Public law obligations (eg Disability legislation).

The experience of "action" is more important than anything! In other words, there's a huge folder full of details, low down on the priority list.

Organisational structure
Key responsibilities of trustees and how these differ from executive/management
Personal learning development expectation - i. ad-hoc learning/knowledge requirements developed separately to any organised training.

Signposting trustee basics - legal obligations of trustees etc. Finance basics for those who need it.
Key regulatory info and partner / stakeholder organisations
Confidentiality
Relevant WG programme for government priorities and legislative info, eg Wellbeing of Future Generations Act, Welsh Language, Anti Racist Wales Action Plan, etc.

Main expectations: Key rules and policies; Planning issues; Introduction to staff and organisation structure; Meeting with the Chair; Annual appraisal process.

Financial, decision-making processes and historical funding.

Full breakdown of the leadership team and their individual responsibilities. A high level strategic overview of existing challenges and work plans. The practicalities of board meetings and committees. Governance arrangements and obligations.

Expectation of what is required. Ability to read, assimilate complicated information and express clearly your view and supporting facts. Being able to challenge other Board members and officers and also provide support to same when required.

Roles and responsibilities of the Arm’s Length Body, the Board and the individual.
Nolan principles
Dealing with conflicts of interests
Equality Diversity and Inclusion.

It is important that the topics are specific to the organisation and individual requirements are not generalised.

Detailed knowledge of the PB and its strategic plan; the role of Board members - specifically in terms of governance, not management; Conflict; Finance; Networking and getting to know fellow Board members to build successful working relationships.

Full and open discussion about the work of the organisation and its challenges
Expectations of Board members
Specific elements such as GDPR, confidentiality, communication channels, constructive challenge, equality and diversity, Welsh Language Standards.

Role and responsibilities of Board members, Strategic overview of organisation, information about corporate plan, risks, priorities, etc.

The content of the Royal Warrant and the obligations placed upon Commissioners therein.

Organisational structure
Board composition and details
Meeting with executives
Tours of facilities (where relevant)
Financial and risk situation of the organisation.
Key challenges facing the Board currently and in the recent past.
EDI information
Climate emergency information as it relates to the organisation.

A clear overview of the organisation, its structure, strategic aims, current financial position and a summary of the key challenges it faces. It would also be helpful (perhaps for some appointees more than others) to provide a clear understanding of the expectations of Board members in terms of their commitment and responsibilities, and their relationship with the executive team in governing the organisation.

Role of Board members
Public Bodies governance
Understanding of relationship with WG team, Minister, and relevant policy landscape.

Governance, Role of Independent Member compared with Elected Member and what Welsh Government and local management expect, Purposes of National Park and the relevant legislation, how the Welsh National Parks feature in Welsh Government thinking and in relation to the rest of the UK. Public sector finance principles and accounting overview.

The induction covered everything I felt ought to be included - how the organisation works, its core work, members of staff, etc.

Governance, structure of the organisation, specific challenges that the Board has dealt with in recent times, introduction to the sub-committees and their roles and attendance at each to understand how they operate.

Historical and political background; fund sources; FCA regulatory requirements; Nolan principles.

An overview of the organisation, its priorities - both statutory and operational - for the duration of the appointments, as well as clarification by the body as to the role they want the new member to fulfil.

All essential requirements and expectations. Relevant administrative processes, including point of contact. Training requirements.

I was happy with the content of the induction.  It covered the requirements of the role and laid out the expectations clearly.

Governance, Policy, Procedures, Finance, Site visits, Introduction key contacts, Strategy, Departmental introductions.

Explanation of function and services:

• Vision and mission
• Board and Committee structure
• Departmental structure and hierarchy
• Initial discussion re personal contribution as a Commissioner
• Outline of appraisal process
• Training needs analysis
• Give copy of strategic plan and discuss progress
• Provide policies and procedures.

Timelines/schedules for reporting to WG; briefings on areas of accountability, committees, Civil Service alignments, etc.
Timelines for strategic design, approval and delivery for the PB
More detail on [Public Body's] structure and staffing, and alignment to strategic responsibilities.

Responsibilities of exec and non-exec members, working practices, expectations of members -- while everyone has relevant experience, it is helpful to make sure everyone has the same understanding.

About the business - ways of working, ‘how to’- guides (including access to systems, raising issues, accessing payroll and expenses), detail on what the board can and cannot do in relation to Welsh Government.

Governance, better understanding of the organisation’s operations and objectives (see enhanced induction comments above), financial training and/or specialist training/induction for relevant sub-committee appointees.  Training in Welsh Government objectives and relevant Welsh Government departmental budget spending (like training sessions from Welsh Government department officials).

Good governance, managing public finances, structure of organisation and key stakeholders, delegation of responsibilities, code of conduct and key processes for safeguarding, whistleblowing etc. as appropriate.

How to get support within the organisational culture, how to read a board paper pack, how to ask questions in a board environment.

Meeting the key people. Them giving you an outline of their roles and responsibilities. Visiting key sites and meeting team members. Explanation of board processes and expectations.

Depends on the individual and their needs. At this level induction should be tailored, otherwise time is wasted.

What is expected of you?
What are the objectives of the board?
What tools/resources are available to enable us to deliver on objectives/expectations?

Government’s governance process. Operational. Technology and how it was. The role of scrutiny in public sector. If applicable.

Governance, Financial management, Safeguarding.

Nolan Principles, An overview of the organisation and its activities, Who's Who within the organisation and Welsh Government, Relevant Regulatory and related Guidance, Fiduciary Duties of a Director, An overview of the Remit Letter, Strategy and Business Plan, any specific guidance related to the organisation and roles being undertaken (including areas relevant to any committee membership), an overview of stakeholders, an overview of the financial and budgetary context, sessions on board governance etc.

Governance

Who is otherwise a panel member
Details of the role, including explaining the scope of the relationship with other people, such as a Chief Executive. I would for example like to understand possibly from the WG what my specific role is, with a little more clarity, and specifically in relation to holding the organisation a little more on occasion to account, if that is a task.
Details of the schedule of meetings.

Risk - and board risk appetite 
Financial governance.

Starting info along with declarations of interest.
Fees and expenses
About the organisation
Welsh context/political structure
Health and social care system in Wales
Organisational structure
Board governance
Committee governance
Roles and responsibilities of Board members
Training and development
Key contacts
Key legislation
Document library
Useful links
Meet and greet the team.

Roles, areas of influence, meeting dates, additional tasks/support.

Relationship between the body and Welsh Government (structure as well as reporting processes).
Strategic plan & outcomes of the body.

Governance, finance, strategy,

Overview of the functions and responsibilities of essential committees of the board, such as Audit, Risk, Remuneration etc.

1. understanding the entity's purpose and mission
2. meet all key management one on one
3. past board papers
4. selected meetings with staff at all levels organisationally and geographically.

Public Body overview and current ways of working. How this Public Body works with other Public Bodies. Board Committees, how they work and what they do. Appetite and timescale for change - if relevant.

Governance.
Strategic and financial planning.
Diversity and Inclusion.

Key requirements of Board membership - like Nolan principles, equality and diversity, fraud prevention, cyber security;
Organisation - organisational culture, business plan/ strategy, budget, risk appetite and register, original structure, standards of behaviour, stakeholders and key partners;
Context - history, political, social, legislative;
Board - standing orders, workplan/ programme of meetings;
Practical- IT (software, access to documents etc.), how to claim expenses.

1. An NHS Wales Public Appointees Task and Finish Group was established in 2023. The role and remit of the group was to:

• Review the arrangements for the recruitment to the role of Chair, Vice Chair and Independent Member of NHS bodies in Wales. This included the recruitment timeline, opportunities to increase diversity of applicants and development opportunities once appointed.
• Consider the extent to which the current skills, responsibilities, activities and roles undertaken by non-officer members are appropriate. Note – this would also include consideration of NEDs where more specific skills are required to discharge the role, for example local authority, legal, finance, etc.
• Consider the required time commitment to effectively discharge the role of a non-officer member of a Local Health Board Trust or Special Health Authority in Wales, as set against the expectations in the terms and conditions.

Recommendations delivered

2. The following 7 recommendations were made and 3 have been actioned. These are:

Recommendation 1

The PAT and NHS bodies work closely to ensure the recruitment timeline for the appointment of public appointments is followed.

Action taken on Recommendation 1

The recruitment timeline has been reviewed and roles have been clarified. There have also been changes with Welsh Government, with the Health and Social Care Early Years Group (HSCEY) playing a much bigger role in the recruitment process. The roles which fall to the PAT, HSCEY and the Board Secretary/NHS bodies are now much clearer which assists with the recruitment timeline, with the PAT having a much closer working relationship with the NHS bodies and their respective Partnership Teams.

Recommendation 2

That NHS bodies ensure they complete the Public Appointments Recruitment Form prior to the commencement of any recruitment campaign or re-appointment and the PAT ensures they have arrangements in place to respond on receipt of a form in a timely fashion;

Action taken on Recommendation 2

This process has been made redundant now with the PAT moving from a reactive team to a proactive team approaching Partnership Teams in advance of vacancies to allow sufficient time for engagement and due process.

Recommendation 3

The following documents were recommended to the Cabinet Secretary for Health and Social Care and have been approved and is being used.

• Model Candidate Pack
• Model Role Profile – Chair
• Model Role Profile – Vice-Chair
• Model Role Profile – Independent Member

Action taken on Recommendation 3

The Cabinet Secretary agrees the required information prior to each campaign and the consistency in information presented, supports the streamlining approach and strengthening the public appointments process.

Recommendations in progress

3. The remaining 4 recommendation are yet to be delivered. These are:

Recommendation 4

The Board Secretaries were asked to evaluate the effectiveness of introducing the above steps a year after their implementation in quarter one of 2025/26.

Progress on Recommendation 4

Time is needed to allow the actions taken in Recommendations 1 – 3 to have an impact so that the Board Secretaries can make a proper and fair evaluation of their effectiveness.

Recommendation 5

There is an ongoing review of the board champion positions, and new positions will not be introduced without the agreement of the Executive Directors Team (EDT), prior to agreement of the Cabinet Secretary for Health and Social Care.

The Task and Finish Group recommends Champion roles are kept under regular review with the temptation to add additional roles, resisted. The approach taken in England should be reflected and if a policy official should consider a Champion necessary, they will need to be clear it meets the test and would not be more appropriately performed in some other way. The introduction of any new Board Champions should be with the agreement of the Welsh Government Health and Socia Care Early Years Group Executive Director Team to ensure the test has been adequately met.

Action taken on Recommendation 5

In partnership with policy leads across HSCEY, the existing Champion roles have been reviewed to ensure that they are current, fit for purpose, and designed to drive best practice across the Health Boards

The review has been concluded and a report is being prepared for consideration by EDT, and findings will be shared with the relevant stakeholders and customers as relevant. The recommendations include:

• discontinuing some Champion roles
• formally inclusion of an R&D Champion role
• for some roles; changing the requirement for the Champion to be an executive or non-executive Board member.
• the provision of a role profile for champions to manage expectations.

Recommendation 6

A review of Independent Member time commitments and the appropriateness of the roles performed is undertaken to inform the effectiveness of board governance in NHS Wales.

To deliver on Recommendation 6

Following consideration by EDT a proposal will be shared with the Cabinet Secretary for approval.

It is the responsibility of a Chair to ensure Independent Members can discharge their roles and responsibilities within the required time commitment. However, Chairs have advised that they are not able to effectively achieve this due to the number of external pressures placed on NHS bodies in Wales. It is clear that the current expectations placed on Independent Members needs to be reviewed. Thus, a governance review is proposed to consider the time spent discharging the role (the quantity), as well as the appropriateness of the tasks undertaken and the contribution this is making to the governance of the organisation (the quality of the task). This review won’t affect Board members’ terms of appointment and is unique to NHS Bodies, and outside the PAT's remit.

Recommendation 7

Resources are made available to review the statutory and mandatory non-executive member roles on the boards of Local Health Boards.

Progress on Recommendation 7

Since the Task and Finish Group produced their report the Cabinet Secretary has established the Accountability Ministerial Task and Finish Advisory Group to reflect on the current governance structures within NHS Wales. This group will provide a view about whether accountabilities are clear and appropriate and advise on any recommendations necessary to strengthen them. The review will conclude shortly and will potentially provide a view on statutory and mandatory roles. It is also anticipated that as a result of this work, a wider review of the governance structures may need to be commissioned. This findings of the Accountability Ministerial Advisory Group will be used to help inform any review, with the mandatory roles being reviewed over the coming months.

PBU continues to welcome discussions on how to make the journey from application to effective Board membership more inclusive and easier to navigate by developing protocols and guidance. It has several ways it communicates with and receives feedback from PBs and Partnership Teams:

• Bi-annual Public Leaders Forum meetings, which consists of Chairs, AAOs, AOs, which invites guest speakers on current topics and provides the opportunity for feedback.
• Bi-monthly Chief Executive Officer meetings which allows operational and other general issues to be discussed in more detail.
• Quarterly Chair meetings which give the PBU the opportunity to update Chairs and hear directly from Boards, as well as inviting guest speakers on issues affecting Boards.
• Quarterly Public Bodies Reference Group (PBRG) meetings which are chaired by the Chief Operating Officer and attended by AAOs responsible for a number of PBs.
• Quarterly Devolved Sector Group (DSG) meetings which bring together employer and Trade Union representatives from Welsh Government and ALBs  to share, consider and discuss employment matters and act as a forum to highlight good practice and issues.
• The Four Nations Public Bodies Forum was established to serve as a forum to share information on governance, accountability and functions of PBs in the delivery of public services across the United Kingdom. This includes approaches to sponsorship and leadership of PBs.
• Newsletters are sent on an ad hoc basis to Chairs and Partnership Teams with information on new initiatives, events and progress updates.

Recommendations in the PAC report focused on:

• an aspirational 3-month appointments completion period
• tracking regulated and unregulated appointments to ensure compliance with completion period
• collection of diversity data and setting out standards of independence of NEDs
• set out dates for a diversity plan for public appointments and review feasibility of data on diversity of AAPs
• scrutinising for possible bias in Arm’s Length Body (ALB) job advertisement prior to Ministerial approval
• review and report on bias in the public appointments process and public’s view on improvements to achieve greater diversity
• rules in paragraph 3.3 of the Governance Code that apply to NED appointments without competition, should be applied to both regulated and unregulated appointments, with Cabinet Office to publish quarterly a register of all NED appointed without competition by Ministers
• state how it will measure effectiveness of outreach activities to develop a wider pool of candidates, as well as drawing up a new code of best governance practice which includes Ministers and NEDs to attend departmental board meetings.

NAO reported on the 5 themes that emerged from their interviews with NEDs and previous work done by them and Parliament.

• Length of process – lengthy appointment process creates governance risks and may put off prospective applicants
• Data - Good-quality, real-time data allows the government to better understand pinch points in the system.
• Diversity and Skills - Effective boards require a diverse mix of members.
• Training and Sharing Good Practice - Training and support to new NEDs can help improve effectiveness.
• Transparency - A lack of information about the appointments process can hinder accountability

Welsh Government has not formally adopted all UK Cabinet Guidance but in most instances, we continue to follow the principles where practicable.

Public Board Appointments

Public appointments
Public appointments on GOV.UK

Recent publications on Board members’ (NEDs) Appointments

Non-executive appointments - National Audit Office
Government non-executive director appointments not efficient, transparent or fair, PAC warns - UK Parliament
Reforming public appointments - Institute for Government

Board effectiveness

Board effectiveness reviews: principles and resources for arm's-length bodies and sponsoring departments on GOV.UK 
Non-executive director appraisals: principles and resources for arm's-length bodies and sponsoring departments on GOV.UK
Chair appraisals: principles and resources for arm's-length bodies and sponsoring departments on GOV.UK

Governance

Managing Welsh Public Money
Regulating Appointments - Commissioner for Public Appointments
Governance Code on Public Appointments - UK Cabinet Office
12 Principles of Governance for all Public Body NEDs on GOV.UK
Code of Conduct for Board Members of Public Bodies - UK Cabinet Office
Public Bodies: A Guide for Departments (Chapter 5: Public Body Staff) - UK Cabinet Office
Regulating Public Appointments with the Governance Code 2016 - Commissioner for Public Appointments
Arm's length body sponsorship code of good practice on GOV.UK
Public bodies on GOV.UK

Diversity

Talent to thrive? Diversity in Public Appointments - Public Chairs Forum
Barriers and Enablers to Board Diversity in the Heritage Sector - Historic England