Management and Development of Probationary Sergeants Standard Operating Procedure Notice: This document has been made available through the Police Service of Scotland Freedom of Information Publication Scheme. It should not be utilised as guidance or instruction by any police officer or employee as it may have been redacted due to legal exemptions. Owning Department: Version Number: Training, Leadership and Development 1.00 (Publication Scheme) Date Published: 06/09/2017 (Publication Scheme)
Compliance Record Equality and Human Rights Impact Assessment: Date Completed / Reviewed: Information Management Compliant: Health and Safety Compliant: Publication Scheme Compliant: 18/06/17 Yes Yes Yes Version Control Table Version History of Amendments Date 1.00 Initial Approved Version 23/08/2017 (Publication Scheme) 2
Contents 1. Purpose 2. Application 3. Introduction 4. Reasonable Adjustments 5. Training and Development 6. Posts and Postings 7. Probationary Period 8. Management Checks 9. Confirmation 10. Roles and Responsibilities Appendices Appendix A Appendix B Appendix C Appendix D Appendix E List of Associated Legislation List of Associated Reference Documents List of Associated Forms Glossary of Terms Probationary Sergeants: Process (Publication Scheme) 3
1. Purpose 1.1. This Standard Operating Procedure (SOP) supports the Scottish Police Authority (SPA) / Police Service of Scotland (herein referred to as Police Scotland) Training, Leadership and Development Policy. Police Scotland is committed to a fair, equal and open assessment and appraisal of each officer s performance. 1.2. The purpose of this SOP is to outline the areas of training and development required to be undertaken by newly promoted Sergeants during the probationary period, as well as the management of the process. 2. Application 2.1 This SOP applies to all Probationary Sergeants from the effective date of their promotion until the date of confirmation to the rank of Sergeant. 3. Introduction 3.1 Police Scotland is committed to the development of its workforce and to becoming an employer of choice. Police Scotland will provide an integrated programme of Probationary Sergeant training and development, comprising operational, national and local training relevant to the various demands of the service. 3.2 Probationary Sergeants will be measured against the National Occupational Standards (NOS) and operational effectiveness. 3.3 The standard probationary period for a newly promoted Sergeant will be 12 months from the effective date of promotion. This can be extended to a period of no more than two years. 3.4 Police Service of Scotland (Promotion) Regulations 2013 Regulation 6 states that: A constable who is promoted to the rank of sergeant is to be on probation in that rank for a period of o One year, or o For such longer period, not exceeding two years, as the Chief Constable considers is appropriate in the circumstances of a particular case Any period of temporary promotion by virtue of regulation 7 (2) is to be disregarded in calculating the period of probation 3.5 Any reference to misconduct or criminality in this SOP relates to the Police (Conduct) (Scotland) Regulations 1996, Police Service of Scotland (Conduct) Regulations 2013, and Police Service of Scotland (Conduct) Regulations 2014 (Publication Scheme) 4
4. Reasonable Adjustments 4.1 A request for a reasonable adjustment should be discussed and considered under the Equality Act 2010 and submitted via the Line Manager. 4.2 Reasonable adjustments may be implemented at any stage of the probationary period. Guidance is available in the Disability in Employment SOP and in the Recording of Disability and Related Reasonable Adjustments guidance document. 4.3 Training, Leadership and Development (TLD) should be informed of any adjustment made in order to ensure that individuals are fully supported. 5. Training and Development 5.1 Leadership Programme (Supervisory) 5.1.1 Probationary Sergeants must undertake the mandatory Leadership Programme (Supervisory) course. Requests to attend this course should be submitted to the TLD Administrator by the Line Manager on Course Enrolment Form 140-007. 5.1.2 A request to be exempted from attending the Leadership Programme (Supervisory) course should be submitted to the TLD Administrator on Leadership Programme Supervisory Form 021-029. 5.1.3 The Leadership Programme (Supervisory) consists of modules and learning outcomes aligned to the National Occupational Standards (NOS) and is structured around two elements: Operational Policing and Police Incident Officer training. Attendance is required at the full two week course. 5.2 Learning Logs 5.2.1 Probationary Sergeants must complete a Probationary Sergeant Learning Log Form 021-030 evidencing each of the six National Occupational Standards (NOS). 5.2.2 One example of evidence must be submitted for each NOS. Examples will be drawn from the probationary period. 5.2.3 Probationary Sergeant Learning Log Form 021-030 will be reviewed by the Probationary Sergeants Line Manager at week 20 and week 40 of the probationary period. Line Managers should verify and comment on the examples provided in the learning log, and provide comment on the overall performance of the Probationary Sergeant. 5.2.4 Probationary Sergeant Learning Form 021-030 will be completed and submitted to TLD by the Line Manager between weeks 40-42 of the probationary period. (Publication Scheme) 5
6. Posts and Postings 6.1 Part time / flexible working 6.1.1 Probationary Sergeants may apply for a flexible working pattern during their probationary period. For further information refer to the Flexible Working SOP. 6.2 Moving Posts 6.2.1 A Probationary Sergeant may apply to work in another area or department. 6.3 Temporary Promotions 6.3.1 A Probationary Sergeant cannot be temporarily, or otherwise, promoted to the rank of inspector. 7. Probationary Period 7.1 A constable who is promoted to the rank of Sergeant is to be on probation for a period of no less than one year 7.2 Extension to Probationary Period 7.2.1 The one year probationary period will not routinely be extended. An extension will be considered on a case by case basis. Where an extension is required the officer and their Line Manager will discuss and fully document the situation and submit all relevant information to the Divisional Commander / Head of Department for consideration. Once confirmed and authorised an Extension to Probationary Period Form (021-037) should be completed and signed off by the Divisional Commander / Head of Department and submitted to TLD. The form will advise the length of the extension period and the revised date for confirmation. 7.2.2 TLD will update the relevant recording systems. 7.2.3 Any extension to a probationary period must be considered and authorised by the Divisional Commander / Head of Department. A probation can only be extended to a period not exceeding 2 years. TLD will work with the relevant division to ensure every officer is confirmed in the prescribed 2 year period 7.3 Extended Absence 7.3.1 Probationary Sergeants who are absent from work for a period of more than 28 days, other than annual leave, will have their probationary period extended by the amount of time which they were absent to allow the officer to complete any training or development required. 7.3.2 This includes any officer who is: (Publication Scheme) 6
On maternity / adoption / shared parental leave Long term absent On a career break 7.4 Restricted Duties 7.4.1 Any officer who is on restricted duties may be afforded an extension to their probationary period. This should be done in conjunction with specialist advice from Occupational Health and HR. 7.5 Part Time / Flexible Working 7.5.1 Probationary Sergeants who work part time or a flexible working pattern may, if they choose to do so, have their probationary periods extended pro rata. 7.6 Unsatisfactory / Unacceptable Performance 7.6.1 Line Managers are accountable for the management and development of their officers. Where a Probationary Sergeant consistently performs to an unsatisfactory / unacceptable standard the Line Manager should refer to the Capability (Attendance and Performance) Police Officers SOP and the Police Service of Scotland (Conduct) Regulations 2014 for guidance. 7.6.2 The Chief Constable may demote a sergeant to the rank of constable at any time during the period of probation if the Chief Constable considers that the officer is not likely to perform a sergeant's duties satisfactorily or has not shown any signs of improvement over a given period of time. 7.6.3 An extension to the probationary period may be considered to allow for performance to improve. 7.7 Conduct 7.7.1 Probationary Sergeants are expected to conduct themselves in an appropriate manner and not take part in any activity which may compromise either themselves or the service. Any act(s) which may constitute misconduct are defined within the Police Service of Scotland (Conduct) Regulations 2014. Further guidance is available in the Police Service of Scotland (Conduct) Regulations 2014 SOP. 7.7.2 At the end of a Sergeants probationary period management checks will be requested by LPD and carried out by the Professional Standards Department (PSD) Gateway Unit and the Anti-Corruption Unit (ACU). Any officer under investigation will have the situation discussed fully with their Divisional Commander and may have their probationary period extended to allow this to be concluded. (Publication Scheme) 7
8. Management Checks 8.1 On receipt of completed Learning Logs TLD will forward details to PSD Gateway Unit / ACU for management checks. Probationary Sergeants subject to an ongoing investigation will be highlighted to TLD and their details passed to Divisional Commanders / Head of Department for information and action if required. 9. Confirmation 9.1 The responsibility of confirming an officer to the rank of sergeant has been devolved from the Chief Constable to the Divisional Commander / Head of Department. 9.2 An officer will be confirmed in the rank of sergeant when notification is received that all three of the following elements have been satisfactorily completed: The leadership supervisory course (unless exempt see paragraph 5.1.2) The learning log Management Checks 9.3 TLD will send a list of those who have satisfactorily completed all three elements to the Divisional SPoC along with the respective learning logs and template Officer to be confirmed in the Rank of Sergeant Form (021-028). 9.4 The Divisional SPoC will populate one Officer to be confirmed in the Rank of Sergeant Form (021-028) per Probationary Sergeant with the necessary details and forward the respective Forms and Learning Logs to the Divisional Commander / Head of Department. 9.5 The Divisional Commander / Head of Department will review each learning log and complete the respective Form 021-028 (refer to 9.4 above) indicating whether the officer is recommended for confirmation, before signing it off completed forms will be returned to TLD in electronic format. Where Form (021-028) is not completed an Extension to Probationary Period Form (021-037) should be submitted. 9.6 Probationary Sergeants will receive email verification from TLD that they have successfully completed their probationary period. 9.7 All records created in respect the Management of Probationary Sergeants will be retained for the appropriate period as set out in the Record Retention SOP. 10 Roles and Responsibilities 10.1 Probationary Sergeants (Publication Scheme) 8
Probationary Sergeants are responsible for: 10.2 SPoC Completing the mandatory Leadership Programme (Supervisory) course, unless an agreed exemption is authorised Completing the Learning Log including one example of evidence for each of the six National Occupational Standards Arranging meetings with their line manager at weeks 20 and 40 to discuss progress of learning logs and overall performance Submitting the learning log to their line manager providing sufficient time for the line manager to complete and submit to TLD by the given deadline date Initiating a request for reasonable adjustments where required 10.2.1 SPoC s are responsible for: Keeping and maintaining a list of Probationary Sergeants for the division Creating one Officer to be confirmed in the Rank of Sergeant Form per officer from the list received from TLD Sending the respective learning log and Officer to be Confirmed in the Rank of Sergeant Form (021-028) or Extension to Probationary Period Form (021-037) for each officer in their division / department to the Divisional Commander / Head of Department for sign off Returning the completed Officer to be confirmed in the Rank of Sergeant or Extension to Probationary Period Forms to TLD 10.3 Inspectors / First Line Managers Line Managers are responsible for: Providing ongoing support and guidance to Probationary Sergeants Ensuring that the Probationary Sergeants performance is consistent with what is expected of the rank Ensuring they meet with the Probationary Sergeant at weeks 20 and 40 to discuss their performance Discussing and documenting any performance issues Contacting Probationary Sergeants who are absent from work, on maternity, paternity or adoption leave in relation to completing their probationary process and any relevant period of extension Contacting TLD if an extension is granted to a Probationary Sergeant Informing TLD where, in conjunction with OHU or HR, a reasonable adjustment is agreed and made for a Probationary Sergeant under the Equality Act 2010 (Publication Scheme) 9
Verifying evidence provided in the learning log, and contacting previous line managers to confirm examples that they cannot verify Advising Divisional Commanders / Head of Division of any concerns that may result in an extension of a probationary period Agreeing and signing off the Probationary Sergeants learning log at the end of their probationary period and submitting to TLD by the given deadline date. Supporting requests for reasonable adjustments in line with force guidance. 10.4 Divisional Commanders / Head of Department Divisional Commanders / Head of Department are responsible for: Recommending / not recommending officer to be confirmed in the rank of Sergeant at the end of their probationary period; Extending a Sergeants probationary period, should they be the subject of misconduct / investigation by Professional Standards Department or Anti-Corruption Unit for any other matter. 10.5 Chief Constable The Chief Constable is responsible for: Extending a probation beyond one year; Regulation 6 (1) (b) Demoting a Probationary Sergeant to the rank of constable 10.6 Professional Standards Department (PSD) Gateway Unit and Anti- Corruption Unit (ACU) PSD Gateway Unit / ACU are responsible for: Carrying out management checks for each sergeant at the end of their probationary period Ensuring any proceedings taken against a Probationary Sergeant are appropriately justified Consulting with the Probationary Sergeants Divisional Commander / Head of Department to provide updates relating to misconduct or corruption allegations and subsequent investigations Informing TLD of any Sergeant who is the subject of an investigation during their probationary period 10.7 Training, Learning and Development TLD is responsible for: Supporting the Probationary Sergeants process Acting as a point of contact for advice and guidance (Publication Scheme) 10
Maintaining a record of the Probationary Sergeant process and each Probationary Sergeant's Progress Placing Probationary Sergeants on a cohort Emailing Probationary Sergeants following their promotion parade to notify them that they are now commencing the probationary period and what that entails Notifying SPoCs of Probationary Sergeants within their division Responding to queries from Probationary Sergeants, Line Managers and Divisional Commanders / Heads of Department regarding learning logs, performance issues, extensions to probationary period, confirmation details, etc. Receiving and checking final learning logs to confirm attendance at supervisory course and that logs are completed Forwarding Probationary Sergeants details to PSD Gateway Unit / ACU for management checks Forwarding issues arising from management checks to the appropriate Divisional Commander / Head of Department Notifying Probationary Sergeants that they have been confirmed as Sergeants Supporting requests for reasonable adjustments in line with force guidance. (Publication Scheme) 11
Appendix A List of Associated Legislation Relevant legislation relating to this policy may be found at www.legislation.gov.uk including but not limited to: Equality Act 2010 Police Service of Scotland (Conduct) Regulations 2013 Police Service of Scotland (Conduct) Regulations 2014 Police (Conduct) (Scotland) Regulations 1996 Police Service of Scotland (Promotion) Regulations 2013 (Publication Scheme) 12
List of Associated Reference Documents Appendix B Policies Training, Leadership and Development Policy Standard Operating Procedures Capability (Attendance and Performance) Police Officers SOP Disability in Employment SOP Equality, Diversity and Dignity SOP Flexible Working SOP Record Retention SOP Guidance Sergeant Role Profile National Occupational Standards (NOS) (Publication Scheme) 13
Appendix C List of Associated Forms Forms Course Enrolment Form (140-007) Extension to Probationary Period Form (021-037) Leadership Programme (Supervisory) Form (021-029) Officer to be Confirmed in the Rank of Sergeant Form (021-028) Probationary Sergeant Learning Log (021-030) (Publication Scheme) 14
Appendix D Glossary of Terms ACU NOS PSD TLD Anti-Corruption Unit National Occupational Standards Professional Standards Department Training Leadership and Development (Publication Scheme) 15
NB: All dates are subject to adjustment Probationary Sergeants: Process Resource Planning and Coordination Team send details of Probationer Sergeants to TLD following promotion parade Appendix E TLD Week 1 email Probationary Sergeants with details of probationary period Update spreadsheet with cohort details; Email SPoCs detailing candidates and area of business Week 1 Line Manager meets with Probationary Sergeant and books on LPS course Identified performance issues will be referred to the SPoC and forwarded to Divisional Commander for discussion/ action. Any required action will be documented and any extension / adjustment to Probationary Period timescales advised to TLD Weeks 20 and 40 Line manager meets with the Probationary Sergeant to discuss the learning log evidence and overall performance Week 41 Verified learning log forwarded to TLD by Line Manager Week 44 Response from PSD Gateway Unit / ACU Week 46 TLD email list of names, learning logs and template Confirmation Form to SPoC for forwarding and completion by Divisional Commanders / HoD Week 50 SPoC returns completed confirmation / extension of probationary period forms to TLD. Forms will be saved and master spreadsheet updated Week 42 TLD email list of Probationary Sergeants to PSD Gateway Unit & ACU for management checks Week 52 Officers and SPoC informed of outcome by email Week 52 Any officer not confirmed will continue to have their performance monitored by their Line Manager until successful completion of any extension period and sign off and progression as per Week 41 (Publication Scheme) 16