FORCE PROCEDURES Student Officer Performance Procedure Procedure Reference Number: 40/07 Procedure Author: Jane Morris, HR Policy Advisor Procedure Review Date: 22 August 2009 At the time of ratifying this procedure, the author is satisfied that this document complied with relevant legislation and Force requirements. Sign and date J Morris, 22/08/07 (Author(s))
Procedure Index ELECTRONIC NAVIGATION: - move the cursor over the page number in the index or blue underlined text until a hand appears. Click the left mouse button once and it will jump to the specified part of the document. 1. Procedure Aim... 3 2. Responsibilities... 3 2.1 Student Officers... 3 2.2 Chief Constable... 4 2.3 Deputy / Assistant Chief Constable... 4 2.4 Director of Human Resources... 4 2.5 Area Commander (Reviewing Officer)... 4 2.6 HQ Learning and Development... 5 2.7 Area Professional Development Units... 6 2.8 Human Resource Managers... 6 2.9 Line Managers/ Supervisors... 7 3. Guidance... 7 3.1 Definitions... 7 3.2 Levels of the Performance Procedure (Appendix 3)... 7 3.3 Regulation 12... 9 3.4 Regulation 13... 10 3.5 Dispensing with the Services of a Student Officer... 11 3.6 Appendices... 11 4. Appeals... 11 5. Review... 12 Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 2
1. Procedure Aim NOT PROTECTIVELY MARKED 1.1 The aim of this procedure is to provide managers, supervisors and student officers with guidance as to the processes that should be followed should it become clear that the Student Officer is not fitted, physically or mentally to perform the duties of their office or that they are not likely to become an efficient or well conducted constable. 1.2 This procedure ensures consistency of approach and that the fair and equitable treatment of all Student Officers exists within Cheshire Constabulary. 1.3 Cheshire Constabulary is committed to delivering improved police performance and greater public reassurance. In order to achieve this, we are committed to the development of Student Officers to ensure that they are: physically and mentally fit to perform the duties of the office and likely to become an efficient and well-conducted constable. 1.4 Regulation 13 provides that during the period of probation, the services of a Student Officer may be dispensed with at any time if the Chief Officer considers that they are not fitted, physically or mentally to perform the duties of their office or that they are not likely to become an efficient and well conducted constable (Appendix 1). 1.5 The Police Regulations 2003, Regulation 12 provides that the Chief Officer may extend a constable s period of probation as they determine in the circumstances of that particular case (Appendix 2). 1.6 This procedure is not intended to deal with issues of code of conduct where the normal Police (Conduct) Regulations 2004 apply. Any proceedings must be followed in accordance with the Professional Standards Force Policy 26/07 (see Section 3.2.1). 2. Responsibilities 2.1 Student Officers Click Here to Return to Index 2.1.1 Student Officers must demonstrate, through their Initial Police Learning and Development Programme (IPLDP), that they are physically and mentally fit to perform the duties of their office and that they are likely to become an efficient and wellconducted constable. 2.1.2 They must successfully demonstrate competence across all 22 National Occupational Standards; all 7 behaviours contained in their role profile, fitness tests and have no outstanding misconduct issues before they will be confirmed in post. 2.1.3 Student Officers have a responsibility to complete their NVQ portfolio and achieve accreditation at NVQ Level 4 within 6 months of being confirmed in probation. Failure to do so would result in the Force seeking reimbursement of the Registration Fees. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 3
2.1.4 If their performance at work is being, or might be, affected by any medical treatment or welfare counselling they are receiving, or if they are being bullied, harassed or discriminated against, they are advised to inform their line manager or other appropriate person. 2.1.5 If a Case Conference hearing has been scheduled, it is important that they discuss the matter with a Police Federation representative to ensure that their best interests are taken into consideration. 2.2 Chief Constable 2.2.1 The Chief Constable has the responsibility to dispense with the services of a Student Officer who has failed to achieve the desired standard under Regulation 13 of the Police Regulations 2003, as amended. 2.3 Deputy / Assistant Chief Constable 2.3.1 As lead Chief Officer for discipline and misconduct, the Deputy Chief Constable (DCC) has responsibility for decisions in respect of suspension and restricted duties. In the absence of the DCC, one of the Assistant Chief Constables will be responsible for performing this role. 2.4 Director of Human Resources 2.4.1 The Chief Constable has delegated the responsibility to extend a probationary period under Regulation 12 of the Police Regulations 2003, as amended, to the Director of Human Resources. 2.5 Area Commander (Reviewing Officer) 2.5.1 Area Commanders should ensure that consistent, fair and effective management of Student Officers is delivered. Any issues referred to them for consideration, assessment and decision should be speedily addressed and managed. 2.5.2 During the IPLDP programme, the Area Commander will act as Reviewing Officer and are responsible for convening and chairing case conferences, ensuring the production of the necessary written records and case files. 2.5.3 They are responsible for compiling the report for submission to the Director of Human Resources, via the appropriate Human Resources Manager, recommending the invocation of this procedure and informing the Student Officer if Regulation 12/13 has been invoked. 2.5.4 For Regulation 13 hearings, they are responsible for producing the report and relevant documents for the Chief Constable, using the template at Appendix 8 as guidance. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 4
2.5.5 They are responsible for the confirmation of Student Officers as police officers at the end of their probationary period. This is subject to the Student Officer demonstrating competence, by week 90 of the IPLDP, across: all National Occupational Standards; all 7 behaviours as detailed in the role profile; fitness tests and having no outstanding issues under the Misconduct Regulations that are likely to prevent them becoming an efficient and well-conducted constable. 2.5.6 Where the services of the Student Officer are dispensed with, the Reviewing Officer is responsible for ensuring the return of the Student Officer s warrant card, uniform and any other police property, and for notifying the appropriate Departments 2.6 HQ Learning and Development Training Sergeant 2.6.1 Training Sergeants should manage the requisite learning, development and assessment of Student Officers during Phases 1 3a (Weeks 1 27) of the IPLDP. This must be against the National Occupational Standards, behaviours and fitness tests in the role profile and must be supported by evidence in the Student Officer Learning and Assessment Portfolio (SOLAP). 2.6.2 Where a Student Officer is failing to achieve the required standards, the Training Sergeant is responsible for ensuring that the evidence is recorded in the SOLAP and where appropriate, dealing initially with the performance through informal levels (see 3.2.6). 2.6.3 They are responsible for regularly reviewing Student Officer Action Plans and for ensuring that appropriate activities and learning experiences are made available to address performance. 2.6.4 They are required to produce case conference files when necessary, ensuring the inclusion of reports and documents from all relevant parties, and to prepare relevant documents for the Reviewing Officer using the template at Appendix 7 as guidance. 2.6.5 They should ensure the necessary establishment and maintenance of links with all those involved in the guidance and support of Student Officers during their probation period. In particular, they should inform the relevant Area Professional Development Unit of any concerns and issues prior to any handover of management of Student Officers. Training Delivery Manager 2.6.6 The Training Delivery Manager or Deputy has responsibility for ensuring accreditation of the NVQ Level 4 by the Student Officers within 6 months of being confirmed in probation and where applicable seeking reimbursement of Registration Fees. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 5
2.7 Area Professional Development Units Area HR Training Sergeant NOT PROTECTIVELY MARKED 2.7.1 Area Training Sergeants should manage the requisite learning, development and assessment of Student Officers from Phase 3b and Phase 4 (week 28 onwards) of the IPLDP. This must be against the National Occupational Standards, behaviours in the role profile and fitness tests and must be supported by evidence in the SOLAP and enable a decision to be taken at Week 90 as to the suitability of the individual to be confirmed in post. 2.7.2 Where a Student Officer is failing to achieve the required standards, the Training Sergeant is responsible for ensuring that the evidence is recorded in the SOLAP and where appropriate, dealing initially with the under performance through informal levels (see 3.2.6) 2.7.3 They are responsible for regularly reviewing Student Officers action plans and for ensuring that appropriate activities and learning experiences are made available to address performance. 2.7.4 They are required to produce case conference files when necessary, ensuring the inclusion of reports and documents from all relevant parties, and to prepare relevant documents for the Reviewing Officer using the template at Appendix 7 as guidance. 2.7.5 They should ensure the necessary establishment and maintenance of links with all those involved in the guidance and support of Student Officers during their probation period. In particular, they should liaise with the Central Human Resources Department, HQ to identify any concerns and issues prior to any handover of management of Student Officers Tutor Constable 2.7.6 Tutor Constables have a responsibility to develop and to assess professional abilities against the Police Actions Checklist in accordance with Phase 3b (weeks 28-37) of the IPLDP, to a level that enables the Student Officer to undertake independent patrol 2.7.7 They should liaise with Area Training Sergeant as necessary to ensure the Student Officer maintains the necessary progress and that problems are identified and addressed immediately and recorded in the SOLAP. 2.8 Human Resource Managers 2.8.1 Area and Central HR Managers should provide advice, guidance and support to the Reviewing Officer and to all other interested parties involved in the management of Student Officers. 2.8.2 They are responsible for co-ordinating Regulation 12 and 13 hearings, including attendance at all hearings. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 6
2.9 Line Managers/ Supervisors NOT PROTECTIVELY MARKED 2.9.1 Line managers and supervisors should provide focused and specific guidance and support to Student Officers, particularly during Phase 3a (Tutor Unit) and Phase 4 (Independent Patrol). 2.9.2 They are responsible for ensuring that appropriate activities and learning experiences are made available to address performance, where appropriate, raising initial performance issues with the Training Sergeant. 2.9.3 Where an action plan has been developed, they are responsible for regularly reviewing the action plan and after each tour of duty, performance should be reviewed and evidence of performance documented, where appropriate raising issues as early as possible to the Training Sergeant. 3. Guidance 3.1 Definitions Click Here to Return to Index 3.1.1 A Student Officer is defined as an officer: who has not completed the Initial Police Learning and Development Programme, or who has had their probationary period extended by the Chief Constable 3.1.2 The IPLDP Assessment Strategy and Guidance Document define the assessment methods and standards for Student Officers and include the: National Occupational Standards, set by the Home Office and defined as taskoriented units, all of which must be achieved during the period of probation; Police Action Checklists, containing over 50 operational tasks to determine fitness for independent patrol; Behaviours as defined in the role profile of a Student Officer; Fitness Tests. 3.1.3 All assessment evidence must be recorded in the Student Officer Learning and Assessment Portfolio (SOLAP). 3.2 Levels of the Performance Procedure (Appendix 3) Unacceptable Behaviour and Conduct 3.2.1 At any time during the probationary period where a Student Officer is considered to be demonstrating unacceptable behaviour and conduct (Appendix 4) it should be identified and brought to the attention of the individual concerned immediately. These include: Failing to identify and respect other people s values within the law; In particular the duties under the Race Relations Amendment Act to eliminate racially Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 7
discriminatory behaviour, promote equality of opportunity and the promotion of good relationships between persons of different racial groups Failing to comply with lawful orders under the Code of Conduct; Police (Conduct) Regulations 2004 Exhibiting evidence of dishonesty; Using unnecessary force. 3.2.2 The Professional Standards Department, Area Commander/ Head of Department and all other relevant individuals must also be informed with immediate effect. 3.2.3 Professional Standards Policy 26/07 and Police (Conduct) Regulations 2004 will apply and must be followed. The Professional Standards policy incorporates a number of procedures for dealing with unacceptable behaviour. Full details of these documents can be found on the Force Information Centre Database. 3.2.4 The decision to suspend an officer will be taken personally by the Deputy Chief Constable and will be done in accordance with the Restricted Duty and Suspension Procedure 28/07, Police (Conduct) Regulations 2004 and Home Office Circular 008/2007 Guidance On Police Unsatisfactory Performance, Complaints and Misconduct Procedures. Full details of these documents can be found on the Force Information Centre Database. 3.2.5 When considering whether suspension or restricted duties is appropriate or not, each case will be treated on its own individual merits. The following factors will be considered: That the effective investigation of the matter may be prejudiced unless the officer is suspended / placed on restricted duties. That the public interest, having regard to the nature of the report, complaint or allegation, and other relevant considerations, requires that the officer should be suspended / placed on restricted duties Informal Level 3.2.6 Instances where a Student Officer is failing to achieve the required standards should be identified and brought to the attention of the individual concerned at the earliest opportunity and evidenced in their SOLAP. This should be done by either their Training Sergeant or line manager/ supervisor. 3.2.7 Such discussions and meetings must be documented. All written documents should be seen and signed by the Student Officer. 3.2.8 In most cases a Student Officer, having been made aware of their failings, will react positively and adjust their performance or behaviour to achieve the necessary standards. 3.2.9 If necessary, an action plan should be developed with the Student Officer. The Action Plan should be SMART (Specific, Measurable, Achievable, Relevant, and with the appropriate Timescales) and stretch the Student Officer. The action plan will be countersigned by the Reviewing Officer. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 8
3.2.10 Action plans should be reviewed, as a minimum, every 5 weeks and line managers should review performance after every tour of duty, until either the Student Officer reaches the acceptable standard and/ or behaviour or it is considered that Regulation 12/13 should be invoked 3.2.11 If improvement is made then no further action is required. Evidence must be recorded in the SOLAP. 3.2.12 Where performance remains at an unacceptable standard, the formal levels of procedure should be adopted. In all cases there is a set of fundamental principles (detailed in Appendix 5) that must be adhered to at all times. Failure to do so may lead to the procedure being applied inconsistently across the Force. Case Conference 3.2.13 The Reviewing Officer will hold a case conference in accordance with the guidance (Appendix 6). All appropriate parties should be invited, including the Student Officer, who may be accompanied by a Federation Representative or by a work colleague. 3.2.14 There are a number of potential outcomes from the Case Conference: The Reviewing Officer finds that there is insufficient evidence that suggests the Student Officer is not showing normal development and the Student Officer should continue in their probationary period; The Reviewing Officer finds that an action plan is necessary to address the development and performance of the Student Officer, BUT does not require an extension to their probationary period; The Reviewing Officer finds is necessary to request an extension to the probationary period to facilitate the development of the Student Officer in accordance with Police Regulations, Regulation 12; The Reviewing Officer finds that the case is so serious and the evidence so overwhelming that the case should be forwarded to the Director of HR, Deputy or Assistant Chief Constable with the recommendation that the Student Officer s services are dispensed with under Police Regulations, Regulation 13. 3.3 Regulation 12 3.3.1 The Student Officer should be informed by the Reviewing Officer that Regulation 12 has been invoked and its implications explained to them. They should be advised of their right to consult a Federation Representative or colleague of their choice and should be provided with a copy of the Regulation 12/13 Information Leaflet (Appendix 9). 3.3.2 The recommended length of extension required should allow for a period of assessment to ensure that the Student Officer is consistently maintaining all the standards required and should reflect the time necessary to ensure that they will become an efficient and well conducted constable. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 9
3.3.3 Where the Reviewing Officer considers that a period of extension to the Student Officer s probationary period is required to facilitate the implementation of an action plan, they will compile a report (Appendix 7) and submit it to the Director of Human Resources, via the appropriate HR Manager recommending the invocation of this procedure. 3.3.4 Where the Student Officer has been given a period of time for improvement and fails to reach the required standard then a further case conference must be held. 3.4 Regulation 13 3.4.1 Subject to the provisions of Regulation 13, Police Regulations 2003, during the period of probation in the force the services of the Student Officer may be dispensed with at any time if the Chief Constable considers that they are not fitted, physically or mentally, to perform the duties of office or that they are unlikely to become an efficient or well conducted constable. 3.4.2 An oral hearing before the Chief Constable is not necessary in every case. Should the Chief Constable wish to hold a Regulation 13 Hearing then this should be done in accordance with the guidance at Appendix 8. All appropriate parties should be invited, including the Student Officer, who may be accompanied by a Federation Representative or by a work colleague. 3.4.3 When making a decision, the Chief Constable will consider the following options: Recommend that the services of the Student Officer be dispensed with; Extend the probationary period for a specific length of time with a remedial action plan; Allow the probationary period to run with a remedial action plan; Consider progress sufficient to allow confirmation of appointment. 3.4.4 Where the Chief Constable decides to dispense with the services of the Student Officer, the Reviewing Officer will be informed and will be responsible for verbally communicating the decision to the Student Officer and confirming the decision in writing. 3.4.5 Where the Chief Constable allows a further period for improvement, this may be within the Student Officer s existing Area or another designated Area if appropriate. Should the decision be to transfer the Student Officer to another Area, the responsibilities associated with these procedures will be transferred to the Reviewing Officer of the new designated Area. 3.4.6 Where a Student Officer has been given a period of time for improvement the Chief Constable may set a date for a further hearing to take place. Should the Student Officer improve to the required standards, this will not be necessary. This will be detailed in the Chief Constable s correspondence to the relevant parties. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 10
3.5 Dispensing with the Services of a Student Officer 3.5.1 The Reviewing Officer will be responsible for ensuring the return of the Student Officer s warrant card, uniform and any other police property, and for notifying the appropriate Departments. 3.5.2 A Student Officer whose services are dispensed with under Regulation 13 shall be entitled to receive one month s notice or a month s pay in lieu of notice. It is also important to ensure that all outstanding expense claims are authorised for payment. 3.5.3 It is stressed that when this procedure is applied, managers should involve the Welfare Department where a probationer is considered to be under pressure or great strain. 3.6 Appendices 3.6.1 Included as part of this procedure are a number of appendices that assist in providing further guidance as to the process that should be followed. These are detailed below: Appendix 1 Regulation 13 Statutory Instrument Appendix 2 Regulation 12 Statutory Instrument Appendix 3 Levels of Performance Procedure Appendix 4 Code of Conduct Schedule 1 Regulation 4(1) Appendix 5 Fundamental Principles Appendix 6 Guidance for Case Conference Appendix 7 Template Report Appendix 8 Guidance for Regulation 13 Hearings Appendix 9 Regulation 12/13 Information Leaflet 4. Appeals Click Here to Return to Index 4.1 Appeals against this procedure should be lodged in writing with the Deputy or Assistant Chief Constable within 10 days of receipt of written notification. The correspondence should clearly state the reason for the appeal and include any further relevant information necessary for the decision-making process. Click Here to Return to Index Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 11
5. Review NOT PROTECTIVELY MARKED 5.1 This procedure will be reviewed on 22 nd August 2009. This date will be superseded if necessary to consider: Its effectiveness in the business area concerned Any changes to legislation Challenges to the procedure Any identified inefficiencies in relation to implementation Impact on diversity and equality Click Here to Return to Index Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 12
APPENDIX 1 Regulation 13: Discharge of Probationer Statutory Instrument 2003 No 527 April 2003 (1) Subject to the provisions of this regulation, during his period of probation in the force the services of a constable may be dispensed with at any time if the chief officer considers that he is not fitted, physically or mentally, to perform the duties of his office, or that he is not likely to become an efficient or well conducted constable. (2) A constable whose services are dispensed with under this regulation shall be entitled to receive a months notice or a months pay in lieu thereof. (3) A constables services shall not be dispensed with in accordance with this regulation and any notice given for the purposes thereof shall cease to have effect if he gives written notice to the police authority of his intention to retire and retires in pursuance of the said notice on or before the date on which his services would otherwise be dispensed with; and such a notice taking effect on that date shall be accepted by the police authority notwithstanding that less than a month s notice is given. (4) Where a constable has received a notice under this regulation that his services are to be dispensed with and he gives written notice of his intention to retire and retires under paragraph (3), he shall nevertheless be entitled to receive pay up to and until the date on which the months notice he has received would have expired or where he has received or is due to receive a months pay in lieu of notice he shall remain entitled to that pay notwithstanding the notice he has given under paragraph (3). Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 13
APPENDIX 2 Regulation 12: Probationary Service in the Rank of Constable Statutory Instrument 2003 No 527 April 2003 (1) Subject to paragraphs (2) and (3), a member of a police force appointed in the rank of constable, other than such a member who transferred to the force from another police force having completed the required period of probation therein, shall be on probation for such period as the Secretary of State shall determine in respect of such appointments. (2) In making a determination under paragraph (1), the Secretary of State may, subject to paragraph (3), confer on the chief officer discretion to determine the required period of probation in a particular case. (3) For the purposes of a determination under paragraph (1), the periods to be counted or disregarded in reckoning service shall be such as may be determined by the Secretary of State. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 14
APPENDIX 3 - Student Officer Performance Process Flow Chart Informal Level Acceptable Performance No Further Action Required Unacceptable Performance Action Plan Acceptable Performance No Further Action Required Case Conference Insufficient Evidence Regulation 13 Regulation 12 Action Plan Acceptable Performance No Further Action Required Confirm Probation Dispense Services Action Plan Unacceptable Performance Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 15
APPENDIX 4 CODE OF CONDUCT (Schedule 1 Regulation 4(1) Police (Conduct) Regulations 1999) Honesty and Integrity It is of paramount importance that the public has faith in the honesty and integrity of police officers. Officers should therefore be open and truthful in their dealings; avoid being improperly beholden to any person or institution; and discharge their duties with integrity. Fairness and Impartiality Police officers have a particular responsibility to act with fairness and impartiality in all their dealings with the public and their colleagues. Politeness and Tolerance Officers should treat members of the public and colleagues with courtesy and respect, avoiding abusive or deriding attitudes or behaviour. In particular, officers must avoid: favouritism of an individual or group; all forms of harassment, victimisation or unreasonable discrimination; and overbearing conduct to a colleague, particularly to one junior in rank or service. Use of Force and Abuse of Authority Officers must never knowingly use more force than is reasonable, nor should they abuse their authority. Performance of Duties Officers should be conscientious and diligent in the performance of their duties. Officers should attend work promptly when rostered for duty. If absent through sickness or injury, they should avoid activities likely to retard their return to duty. Lawful Orders The police service is a disciplined body. Unless there is good and sufficient cause to do otherwise, officers must obey all lawful orders and abide by the provisions of Police Regulations. Officers should support their colleagues in the execution of their lawful duties, and oppose any improper behaviour, reporting it where appropriate. Confidentiality Information which comes into the possession of the police should be treated as confidential. It should not be used for personal benefit and nor should it be divulged to other parties except in the proper course of police duty. Similarly, officers should respect, as confidential, information about force policy and operations unless authorised to disclose it in the course of their duties. Criminal Offences Officers must report any proceedings for a criminal offence taken against them. Conviction of a criminal offence may of itself result in further action being taken. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 16
Property Officers must exercise reasonable care to prevent loss or damage to property (excluding their own personal property but including police property). Sobriety Whilst on duty officers must be sober. Officers should not consume alcohol when on duty unless specifically authorised to do so or it becomes necessary for the proper discharge of police duty. Appearance Unless on duties which dictate otherwise, officers should always be well turned out, clean and tidy whilst on duty in uniform or in plain clothes. General Conduct Whether on or off duty, police officers should not behave in a way which is likely to bring discredit upon the police service. Notes (a) The primary duties of those who hold the office of constable are the protection of life and property, the preservation of the Queen's peace, and the prevention and detection of criminal offences. To fulfil these duties they are granted extraordinary powers; the public and the police service therefore have the right to expect the highest standards of conduct from them. (b) (c) This Code sets out the principles which guide police officers' conduct. It does not seek to restrict officers' discretion: rather it aims to define the parameters of conduct within which that discretion should be exercised. However, it is important to note that any breach of the principles in this Code may result in action being taken by the organisation, which, in serious cases, could involve dismissal. This Code applies to the conduct of police officers in all ranks whilst on duty, or whilst off duty if the conduct is serious enough to indicate that an officer is not fit to be a police officer. It will be applied in a reasonable and objective manner. Due regard will be paid to the degree of negligence or deliberate fault and to the nature and circumstances of an officer's conduct. Where off duty conduct is in question, this will be measured against the generally accepted standards of the day. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 17
APPENDIX 5 Fundamental Principles Student Officer Performance Procedure Where there is a decision to enter the formal levels of this procedure, it is vital that certain fundamental principles are followed. These principles are the same throughout the whole procedure and should be referred to when moving through all the levels. Shortcomings should be specifically identified, evidenced, and brought to the attention of the student officer both verbally and in writing. The Student Officer should be involved in solving their performance problems and comments by the individual should be recorded. A written action plan should be produced that must include: - The specified areas of weakness to be addressed; - The action agreed by the manager and student officer to tackle the weakness; - Agreed objectives that specify what measurable changes in performance are expected; - Time scales for the action plan and a date when progress will finally be reviewed. - A clear statement that the matter is being handled as part of the formal procedure for managing Student Officer Performance. All relevant documents such as personal development plans, reports, action plans and notes should be retained for evidential purposes to act as a safeguard for all parties. All documentary evidence relating to the individuals performance should be seen and signed by the student officer. Any responses from the student officer throughout the levels of this procedure should be noted. Failure to do so may lead to a decision to dismiss a student officer being challenged on the grounds of a breach of natural justice. Briefly what are the key aspects of dealing with student officer performance? Identify and record problems with performance; Inform the individual and allow them to respond; Agree an action plan with the individual, including objectives and timescales; Review and record progress; Involve the individual; Always base assessments on evidence, bring the evidence to the attention of the individual, consider their response and record it; Be honest, fair, sensitive & professional; Adhere to the procedures to ensure a consistency of approach; Make written records for all levels. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 18
APPENDIX 6 Guidance for Conducting a Case Conference When is a case conference called? At any time when a person with responsibility for the development of a Student Officer identifies that they are not making the necessary progress for a Student Officer with that length of service, they should refer the problem to the Reviewing Officer to consider convening a case conference. By whom? The Reviewing Officer acting on the recommendations made to them by the appropriate parties. Who will chair it? Reviewing Officer Who is invited? The parties required to be there:- Reviewing Officer The Student Officer who is the subject of the case conference. The Student Officer s work colleague or Federation representative Training Sergeant Normally the Student Officer s line manager responsible for their direct line supervision. Any other person who is going to give substantial evidence to the Reviewing Officer, such as the Tutor Constable, or a colleague who has been present when particular incidents have occurred. HR Manager. Member of the Welfare Unit, where it is considered that the Student Officer is under pressure or great strain It is important that everyone who has something relevant to say attends the case conference, but this imperative must be weighed against the size of the group being so large that it becomes intimidating to the Student Officer. How much notice should be given? It is the duty of the Training Sergeant to compile the Case Conference File. This should be made available to the Student Officer before the date of the case conference in order for them to read and understand it. A copy should also be supplied to the constables representative or colleague (10 days prior to the case conference). The file should contain relevant evidence, which demonstrates the level of performance the individual has attained. Nothing that is raised during the case conference should come as a surprise. How is the case conference conducted? The Training Sergeant will present the case in a structured way. Each occupational standard and behavioural area is addressed in turn and the Student Officer and/or their representative is given the opportunity to respond at each level. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 19
The Reviewing Officer will make a judgement, based purely on the evidence presented to them, as to whether the Student Officer has reached the standard required. The Reviewing Officer should take into consideration details of any action plans, previous case conferences and any outstanding misconduct issues, including copies of further action plans and progress made. Consideration should also be given to any medical treatment or welfare counselling or if the probationer has raised any bullying, harassment or discrimination affecting them at work. The Student Officer must indicate their willingness in writing for such a disclosure to be made. The Reviewing Officer has options including:- To find that there is insufficient evidence that suggests the Student Officer is not showing normal development and the Student Officer should continue in their probationary period. To find that an action plan is necessary to address the development and performance of the Student Officer, BUT does not require an extension to their probationary period. To find it is necessary to request an extension to the probationary period to facilitate the development of the Student Officer in accordance with Police Regulations, Regulation 12 To find that the case is so serious and the evidence so overwhelming that the case should be forwarded to the Chief Constable with the recommendation that the Student Officer s services are dispensed with under Police Regulations, Regulation 13 Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 20
APPENDIX 7 Template Report Introduction/Background This section should include the name and collar number of the Student Officer, the date they commenced their probationary period, current posting and the due date of permanent appointment. It should also include the Student Officer s previous employment history, service and personal circumstances. Where the Student Officer is considered unable to achieve the required standards due to normal circumstances or through prolonged abstraction from duty for e.g. sickness, injury, maternity leave, details should be included in the report. The Problem Areas/ Areas for Improvement This section should include the expected levels of attainment for the National Occupational Standards, Behaviours and fitness for a Student Officer with that length of service, the actual level that the Student Officer has attained and the standard shortfall. Historical evidence should not be used to justify recent standard and/or behaviour deficiencies if the officer has attained independent patrol. In such cases the evidence should not be based on incidents during pre-independent patrol. The evidence should be based on deficiencies the officer is currently experiencing. Improvement in standards and/or behaviour should be highlighted in the report, to enable a balanced view of the Student Officer s performance to be taken at the case conference or Regulation 13 hearing. Remedial Action Taken This section should include details of any other hearings which may have been held, action plans which have been formulated, details of case conferences which have previously taken place and copies of further action plans and progress made, including any outstanding issues under the Misconduct Regulations. Other Considerations If the Student Officer is receiving any medical treatment or welfare counselling or the Student Officer has raised bullying, harassment or discrimination issues affecting them at work, details should be provided, but only when the officer has indicated in writing his/her willingness for the disclosure to be made. Recommendations This section should include a list of recommendations as appropriate. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 21
APPENDIX 8 Guidance for Conducting a Regulation 13 Hearing When is a Regulation 13 Hearing called? Where the Student Officer performance is so serious and the evidence so overwhelming that the case should be forwarded to the Chief Constable with the recommendation that the Student Officer s services are dispensed with under Police Regulations, Regulation 13 By whom? When the Reviewing Officer has recommended that Regulation 13 be invoked. Who will chair it? Chief Constable Who is invited? The parties required to be there:- Chief Constable Reviewing Officer The Student Officer who is the subject of the hearing The Student Officer s work colleague or Federation representative Training Sergeant Normally the Student Officer s line manager responsible for their direct line supervision. Any other person who is going to give substantial evidence to the Reviewing Officer, such as the Tutor Constable, or a colleague who has been present when particular incidents have occurred. HR Manager. Member of the Welfare Unit, where it is considered that the Student Officer is under pressure or great strain It is important that everyone who has something relevant to say attends the hearing, but this imperative must be weighed against the size of the group being so large that it becomes intimidating to the Student Officer. How much notice should be given? It is the duty of the Reviewing Officer to compile the report. This should be made available to the Student Officer before the date of the hearing in order for them to read and understand it. A copy should also be supplied to the constables representative or colleague (10 days prior to the hearing). The report and supporting documents should contain relevant evidence, which demonstrates the level of performance the individual has attained. Nothing that is raised during the hearing should come as a surprise. Any submissions by the Student Officer should be submitted in writing to Chief Constable via the Reviewing Officer at least 5 days prior to the hearing. How is the hearing conducted? The hearing will take the form of a discussion relating to the Student Officer s alleged shortfall in the occupational and behavioural standards. During the hearing the Chief Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 22
Constable will inform the Student Officer of the implications of Regulation 13. The HR Manager will be present and will provide advice when necessary. The Reviewing Officer will be asked to present the evidence, drawing upon the knowledge of other parties present at the hearing. The Student Officer and their representative will be given the opportunity to provide information in relation to the Student Officer s performance and related issues. The Chief Constable should take into consideration details of any action plans, previous case conferences/ hearings and any outstanding misconduct issues, including copies of further action plans and progress made. Consideration should also be given to any medical treatment or welfare counselling or if the probationer has raised any bullying, harassment or discrimination affecting them at work. The Student Officer must indicate their willingness in writing for such a disclosure to be made. The Chief Constable will adjourn at the conclusion of the hearing to consider the decision. The hearing will be resumed and the Chief Constable will communicate the decision verbally to all parties. Chief Constable will consider the following options:- Recommend that the Student Officer s services be dispensed with; Extend the probationary period for a specific length of time with a remedial action plan; Allow the probationary period to run with a remedial action plan; Consider progress sufficient to allow confirmation of appointment. Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 23
INTRODUCTION REGULATION 12 The Police Regulations 2003, as amended, Regulation 12 provides that the Chief Officer may extend the period of probation as they determine in the circumstances of that particular case. REGULATION 13 The Police Regulations 2003, Regulation 13 provides that during the period of probation in the Force the services of a constable may be dispensed with at any time if the Chief Officer considers that they are:- not fitted physically and mentally to perform the duties of their office or not likely to become an efficient or well conducted constable PLEASE RETAIN THIS LEAFLET FOR YOUR REFERENCE This leaflet provides you with important information that you may need if Regulation 12 or 13 is invoked. WHY HAS THIS PROCEDURE BEEN INTRODUCED The procedure has been introduced to assist in the application of Regulation 12 and 13. They are designed to ensure a consistency of approach and the fair and equitable treatment of all student officers throughout the Force. WHAT DOES REGULATION 12 AND 13 MEAN FOR ME? Regulation 12 will be invoked upon the recommendation of the Reviewing Officer. Reasons for an extension to your probationary period may include: - A lengthy period of Maternity Leave or abstraction from duty as a result of sickness or an injury sustained on duty. This is where it is felt that such an abstraction would affect an officer s ability to attain the required standards in the remaining period of probation. Where the Reviewing Officer deems that the Student Officer is unable to attain the necessary standards within the Initial Police Learning and Development Programme and would benefit from additional extension. The decision to extend a probationary period will be made by the Director of Human Resources in consultation with the Reviewing Officer. If Regulation 12 has been invoked for you the following facilities are available for your personal use: - 1. FEDERATION REPRESENTATION It is important that you discuss this matter with your representative in order to ensure that your best interests are taken into consideration 2. WELFARE The Welfare unit are there to give you professional and confidential advice 3. HR MANAGER If Regulation 12 has been invoked for you, you will be informed by your Reviewing Officer who will also communicate the decision of the Director of Human Resources Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 24
WHAT DOES REGULATION 13 MEAN FOR ME? Regulation 13 will be invoked upon recommendation of the Reviewing Officer where they are of the opinion that the Student Officer will not attain the required skill levels within their probationary period WHAT WILL HAPPEN IN THESE CIRCUMSTANCES Any indication that an officer is not performing the required standards will be fully discussed with them by their Training Sergeant who will involve their supervising officer, HR Manager and Reviewing Officer. As a result of these discussions Student Officers will be offered every support in order that they achieve the required levels of the National Occupational Standards and behaviours. Only where the desired improvement cannot be achieved, through detailed action planning and support, will Regulation 13 be formally invoked, and at the last resort, dismissal considered. In the event of the formal procedures under Regulation 13 being invoked, you will be informed of the following: - Your rights to representation by a Federation Representative or work colleague at any discussion or formal interview/case conference The facilities available from the Welfare unit. The process which will be followed together with copies of all documentation that will be referred to. USEFUL CONTACT NUMBERS Police Federation ext. 2350 Welfare ext. 4038/4036 You may find it useful to detail the name and number of the following people for reference: - Training Sergeant Name: Number: Supervising Officer Name: Number: For further advice on the guidance contained within this leaflet or for any additional information please contact the HR Department. A Guide for Student Officers Regulations 12 & 13 Police Regulations 2003 August 2007 Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 25
Procedure Review Form Title: Student Officer Performance Procedure Procedure Author: Jane Morris Tel. Ext.: 4116 Procedure approved by: Staff & Leadership Board Linked to Policy: HR Management Managing Staff Efficiency Date Approved: 23 rd August 2007 Procedure Review When was the procedure last reviewed? N/a New procedure in light of the national Initial Police Learning and Development Programme Is this procedure still required? Yes If No, contact the Force Information Centre to archive the document Could this procedure be No If Yes, contact the Business Intelligence Unit consolidated with another? to arrange a joint review Does this procedure involve significant change to working practices that will have a resultant impact on service delivery, budget or operational risk? No If Yes, inform the Business Intelligence Unit What forms are linked to this procedure? Ensure all forms included in the procedure are reviewed. If amendments are required to any forms contact the Force Forms Administrator within Design and Print. Has the procedure considered the following? What evidence is in the procedure to support this? Resource implications Yes See Procedure Finance implications Yes IT Service implications Yes Policy Owner Sign Off I authorise this procedure for publication / I have forwarded the procedure to an ACPO member for consideration * Delete as appropriate Policy Owner: Agreed by Staff & Leadership Board Signed Date: 23 rd August 2007 ACPO Member Sign Off I authorise this procedure for publication / I do not authorise this procedure for publication * Delete as appropriate ACPO Member: Signed Date: Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 26
Procedure Human Rights Review Human Rights Compliance Assessment List legislation relevant to the procedure: RIPA / PACE / CPIA Other: Has any of the legislation / case law Yes If No to both questions then changed since the last review? previous compliance test stands Has procedure changed since last review? Yes As a result of the application of the procedure, which Articles are likely to be infringed? 8 Respect for private and family life Yes 9 Freedom of thought, conscience and religion No 10 Freedom of expression No 11 Freedom of assembly and association No For each Article infringed, identify the legitimate aim(s) that justify the infringement: Legitimate Aim Article 8 Article 9 Article 10 Article 11 National Security N/A Public safety Economic wellbeing of country N/A N/A N/A Prevention of crime and disorder N/A Protection of public order N/A N/A N/A Territorial integrity N/A N/A N/A Protection of reputation and rights of others N/A N/A N/A Preventing disclosure of information received N/A N/A N/A in confidence Maintaining authority and impartiality of N/A N/A N/A judiciary Protection of health or morals Protection of rights and freedoms of others x N/A Is the interference the least intrusive option to achieve the identified legitimate aim? Is the interference justified and proportionate with regard to the identified legitimate aim? Is the interference identified applied in a non-discriminatory manner? Are decision making processes and outcomes of actions documented? Student Officer Perf Supp Info NOT PROTECTIVELY MARKED 27 Yes Yes Yes Yes Article 8 Right to Respect for Private and Family Life Everyone has the right to respect for his private and family life, his home and his correspondence. Article 9 Freedom of Thought, Conscience and Religion Everyone has the right to freedom of thought, conscience and religion; this right includes freedom to change his religion or belief and freedom, either alone or in community with others and in public or private, to manifest his religion or belief, in worship, teaching, practice and observance. Article 10 Freedom of Expression Everyone has the right to freedom of expression. This right shall include freedom to hold opinions and to receive and impart information and ideas without interference by public authority and regardless of frontiers. This article shall not prevent States from requiring the licensing of broadcasting, television or cinema enterprises. Article 11 Freedom of Assembly Everyone has the right to freedom of peaceful assembly and to freedom of association with others, including the right to form and to join trade unions for the protection of his interests.