Standard Operating Procedure

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1 Capability (Attendance and Performance) (Police Officer) 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: People and Development 2.00 Date Published: 10/10/2016 Version 2.00

2 Compliance Record Equality and Human Rights Impact Assessment (EqHRIA): Date Completed / Reviewed: Information Management Compliant: Health and Safety Compliant: Publication Scheme Compliant: 10/12/2013 Yes Yes Yes Version Control Table Version History of Amendments Date 1.00 Initial Approved Version 17/03/ Minor changes to nomenclature contained within the document such as PSoS to Police Scotland and Human Resources to People and Development. SOP has been formatted onto new corporate template 10/10/2016 Version

3 Contents 1. Purpose 2. Application 3. Introduction 4. Exclusions 5. Capability Principles 5.1 Confidentiality 5.2 Improvement and Validity Periods 5.3 Attending Meetings/Hearings 5.4 Right to be Accompanied 5.5 Record Keeping 5.6 Mitigating Circumstances 5.7 Performance and Development Review (PDR) 5.8 Advice and Support Mechanisms 6. Capability Procedure 6.1 Improvement Action 6.2 Formal Process 6.3 Stage 1 Performance Meeting 6.4 Stage 1 Performance Meeting Appeal 6.5 Stage 1 Assessment of Performance/Attendance Following First Improvement Period 6.6 Stage 2 Progress Meeting, Appeal Process and Assessment of Performance/Attendance 6.7 Stage 3 Performance Hearing 7. Roles and Responsibilities 7.1 Officers 7.2 Line Managers and Supervisors 7.3 Second Line Manager 7.4 Senior Management 7.5 People and Development 7.6 Occupational Health Version

4 Appendices Appendix A Appendix B Appendix C List of Associated Legislation List of Associated Reference Documents List of Associated Forms Version

5 1. Purpose (f) This Standard Operating Procedure (SOP) supports the Scottish Police Authority (SPA)/Police Service of Scotland (Police Scotland) Employee Relations Policy. This SOP aims to provide an effective framework to manage police officer underperformance and attendance in a fair and reasonable manner. This will involve giving appropriate training and support to ensure a culture of learning and development and improved performance and attendance wherever possible. This SOP provides: the process for managing underperformance; the process for managing poor attendance, in circumstances where the Attendance Management SOP fails to provide the necessary support and improvement; and guidance to support officers and line managers affected by the process. This SOP is not designed to deal with minor day to day issues relating to performance and attendance and does not apply to conduct issues. Further information is available in section 4. This SOP will operate in line with the Equality, Diversity and Dignity SOP and the Police Service of Scotland (Performance) Regulations Further advice on the content of this SOP can be obtained from line managers or People and Development 2. Application This SOP applies to all police officers who have completed their probation up to the rank of Chief Superintendent. The only exceptions to this are officers on temporary service within Police Scotland or Police Scotland officers who are on temporary service outwith Police Scotland. 3. Introduction The success of SPA/ Police Scotland is dependent upon effective contributions from all officers. In this regard, the SPA/ Police Scotland are committed to proactive performance management which ensures that officers are aware of the performance and attendance levels expected of them, that these levels are honestly reviewed on a regular basis and officers are provided with appropriate training and support to meet these levels. All officers within Police Scotland have a responsibility to perform their duties to an acceptable level, and will be given all reasonable support and encouragement to help them to do so. Version

6 While the vast majority of officers meet or exceed the demands of their respective roles, some officers can find themselves struggling to operate at an acceptable level from time to time. It is recognised that appropriate support is required to assist with improving performance and attendance. (f) Unsatisfactory performance is defined as an inability or failure of the officer to perform the duties of their role or rank (or both) to a satisfactory standard. Unsatisfactory performance can also include poor attendance. Unsatisfactory performance can become apparent in a number of different ways. This may include (not an exhaustive list): poor standards of work, e.g. frequent mistakes, not following a job through, unable to cope with instructions given; inability to cope with a reasonable volume of work to a satisfactory standard; poor interpersonal skills resulting in poor relationships with colleagues or members of the public; lack of apparent skill/method of work required; poor communication skills i.e. written or verbal; consistently not achieving reasonably agreed and realistic set targets/objectives; failing to achieve or sustain required qualifications/training courses; or, inability to attend work to a level that results in a difficulty to effectively perform roles and responsibilities. This SOP aims to ensure, where an officer is assessed as not performing/attending to an acceptable level, they are assisted to improve their performance/attendance in a consistent, fair and supportive manner and at the earliest opportunity. This will be achieved by providing the appropriate support, assistance, development and reasonable time needed in order to affect an improvement. The focus will always be on resolving performance issues through improvement action (refer to section 6.1, where possible. This applies equally to attendance issues, where support for attendance will be offered via the Attendance Management SOP. Only when the support offered in the Attendance Management SOP does not result in improvement in attendance will the Capability (Attendance and Performance) SOP for Police Officers be considered for attendance issues. Where performance/attendance concerns are similar or connected to each other they will be considered together throughout this process. However, there may be occasions where more than one capability process is being required to run concurrently for an officer where the two (or more) performance/attendance issue exist and are not similar or related. Version

7 (g) (h) (i) Reasonable adjustments will be made for officers with a disability (including the officer accompanying them to a meeting) throughout this process if required. Reasonable adjustments must also have been considered prior to the process if applicable as outlined in section 5.6. Where the capability procedure fails to result in a suitable level of performance/ attendance, this SOP aims to support to officer in order to enable them to continue with the Police Scotland, although there is no guarantee that this will be possible. For the purpose of this SOP, working days means any day other than: a Saturday or Sunday; a day which is a bank holiday in Scotland; or a day which is a public holiday in Scotland. 4. Exclusions This SOP is not designed to deal with the day to day management of officers but is to be used when there is an ongoing issue relating to performance/attendance that requires a structured approach. SPA/ Police Scotland also recognises the difference between the deliberate failure of an officer to achieve the levels expected of them, and instances where an officer is unable to carry out their duties to an acceptable level. The same principle applies to attendance where this SOP will only be used where the officer s absence is genuine. Instances where an officer is able but unwilling to carry out duties and/or it is believed that absence is unauthorised will be managed via the Conduct SOP. This SOP should not be used for an attendance issue as a result of an injury/illness whilst a police officer is being considered for ill health retirement in relation to this injury/illness. Where it is determined that an officer should not be progressed or is not eligible for ill health retirement consideration can be given to this issue being progressed through the Capability (Attendance and Performance) SOP. For more information on the Ill Health Retirement process refer to the Ill Health Retirement SOP. Where consideration is being given to using the performance regulations for an issue that is not related to the injury/illness being considered for ill health retirement this must be discussed with People and Development. Version

8 5. Capability Principles 5.1 Confidentiality All capability reviews should be dealt with in the strictest confidence. Any unjustified disclosure regarding a capability situation could be subject to investigation under Police Service of Scotland (Performance) Regulations 2014 (police officers). 5.2 Improvement Periods and Validity Periods At each stage of the capability process the relevant manager should set timescales for improvement of performance/attendance. This will be referred to as the improvement period and should normally be for a period of 12 weeks, taking into account the balance between providing adequate time for improvement and the requirement of the Police Scotland for effective work performance/attendance as soon as possible. Where required, the improvement period may vary from the 12 week improvement period, however in line with Regulation 10 of the Police Service of Scotland (Performance) Regulations 2014, the improvement period must not be longer than 12 months. As well as meeting the required performance/attendance level by the end of the improvement period there is a requirement to maintain that performance/attendance level until the end of the validity period, which is 12 months from the date that the improvement period commenced. Where the improvement period is extended the validity period will also be extended in line with Regulation 11 of the Police Service of Scotland (Performance) Regulations Only when an officer meets the satisfactory performance/attendance level and maintains it for the duration of the validity period will the capability procedure end. Where an officer meets the satisfactory performance/attendance level and then fails to maintain the level expected during the validity period the officer will progress to the next stage of the formal process. Normally the only circumstances when an extension to the improvement period will be considered will be certified or disability/pregnancy related sick leave, authorised leave periods, training availability or where an officer has not had sufficient time to improve due to an emergency deployment to other duties. In any other circumstances, line managers must seek advice from People and Development prior to extending timescales. The improvement period will not be extended for sick leave where the reason for progression to the Capability Procedure relates to the officer s attendance. Advice should be sought from People and Development where there is disability/pregnancy related sick leave during the improvement period. Version

9 (f) This section is in line with Regulation 10 of the Police Service of Scotland (Performance) Regulations 2014 and the Performance Regulations Scottish Government Policy Guidance. 5.3 Attending Meetings/Hearings Line managers will arrange meetings during the officer s working hours (unless otherwise agreed with the officer) and individuals are required to attend meetings/hearings initiated by this SOP. A date and time must be agreed with the officer and if no date or time can be agreed then the relevant manager will specify a date and time. For officers who are absent from work, attendance at meetings is not subject to the same considerations as reporting to work. An illness or injury may result in an officer being unfit for their work without affecting their ability to attend a meeting/hearing. The location of a meeting can be flexible where this would form part of a reasonable adjustment e.g. the meeting does not require to take place at a police station where the officer has mobility issues. Where the officer and/or police representative are not available at that date and time the meeting must be postponed to an alternative date and time that is reasonable and falls no later than 10 working days from the date first specified. Where an alternative meeting cannot be arranged within this time Regulation 7 of the Police Service of Scotland (Performance) Regulations 2014 confirms that a meeting can take place in their absence. In the case of a hearing this could also be conducted via video, telephone or other conferencing technology. (f) Any decision to progress to a meeting/hearing in the officer and/or police representative s absence should be taken based on the circumstances of the case and in full consultation with People and Development. For example, more flexibility may be provided where an officer is temporarily incapacitated and it would not be reasonable to expect the meeting to take place within 10 working days of the initial date and time of the meeting/hearing. This section is in line with Regulation 7, 14, 19, 23, 28, 36 and 45 of the Police Service of Scotland (Performance) Regulations 2014 and the Performance Regulations Scottish Government Policy Guidance. 5.4 Right to be Accompanied Officer s may be represented by representatives from the Scottish Police Federation or Association of Scottish Police Superintendents (as appropriate). Alternatively, officers may be represented by another police officer within the Police Scotland. Version

10 (f) (g) Officers will not be permitted to be accompanied to meetings by a representative who is otherwise involved in any aspect of the officer s performance/attendance being considered as part of the Capability (Attendance and Performance) SOP. The responsibility for arranging to be accompanied rests with the officer. Officers must provide their manager with the name of the person attending at least 24 hours in advance of the meeting. A police representative may: advise the officer throughout any proceedings under the Capability (Attendance and Performance) SOP; accompany the officer to any meeting or hearing which the officer is required to attend under the Capability (Attendance and Performance) SOP; make representations on the officer s behalf at any meeting/hearing under the Capability (Attendance and Performance) SOP. This includes asking questions of any witnesses where the officer is entitled to do so; and make representations to the Deputy Chief Constable (Designate) concerning any aspect of the proceedings under the Capability (Attendance and Performance) SOP; A police representative must be permitted a reasonable amount of duty time for the purpose of performing this role. This section is in line with Regulation 6 of the Police Service of Scotland (Performance) Regulations 2014 and the Performance Regulations Scottish Government Policy Guidance. 5.5 Record Keeping Line managers are required to keep written records of improvement action, via SCoPE and formal capability process using the capability forms available on the Intranet. Records will detail: the nature of the performance/attendance issues including examples; any mitigating circumstances; the support or training offered or any action taken and the reasons for it; evidence to support any performance/attendance improvement or ongoing shortfalls; the improvement required; the timescales for reviewing performance/attendance; and whether an appeal was lodged if there was a right to appeal, its outcome and any subsequent developments. Version

11 Records must be treated confidentially and should be recorded accurately, timeously and be relevant. Records should be marked with the appropriate Government Protective Marking. Copies of the meeting records should be given to the officer. Copies of all capability records must be provided to People and Development for information at the conclusion of each stage of the capability process. All original records should be sent to People and Development at the conclusion of the capability procedure. Additional copies, whether manual or electronic, are not to be retained by the line manager and must be securely destroyed at the conclusion of the capability procedure once receipt has been confirmed by People and Development. (f) Records will be retained securely by People and Development following the conclusion of the capability procedure in line with the relevant Record Retention SOP. 5.6 Mitigating Circumstances When considering a case of underperformance, it may become clear that mitigating circumstances, such as personal problems are contributing to an officer s underperformance. Mitigating circumstances do not mean that the capability procedure cannot be followed, simply that the impact of the circumstances on the officer s performance, competence or standard of work must be fully assessed as part of the process. In addition, actions that the officer is taking to address the circumstances and any support which may be available from SPA/ Police Scotland should be considered. Line managers should offer any suitable support as per section 5.8 and refer to People and Development for further advice and support where required. If an officer has a disability that may be contributing to underperformance/ attendance the Disability in Employment SOP must be followed prior to consideration of capability procedures being invoked. The capability procedure will only be initiated where the disability process has been followed and performance is still below the level expected despite all reasonable adjustments having been put in place. Where additional reasonable adjustments are identified through the capability procedure these should be implemented and advice should be sought from People and Development in relation to progressing the capability process. Consideration of mitigating circumstances for attendance issues are included in the Attendance Management SOP as part of the process before deciding whether to progress an attendance issue for consideration through the Capability (Attendance and Performance) SOP. However, where mitigating circumstances emerge following the progression to the Capability (Attendance and Version

12 Performance) SOP, these should obviously still be considered. For example, officers may be referred to Occupational Health for up to date information and advice at any stage during the Capability Process if it will assist in identifying ways to support the officer in improving their attendance. 5.7 Performance and Development Review (PDR) The PDR system will continue alongside any action taken under the capability procedure. Where a need to improve work performance standards is identified this should also be supported through appraisal evidence. 5.8 Advice and Support Mechanisms It is recognised that officers may require support and assistance throughout the capability procedure. The following sources of assistance may be available: The officer s line manager; People and Development; Occupational Health; Employee Wellbeing/Assistance Programmes; Scottish Police Federation or Association of Scottish Police Superintendents Representatives; and, Diversity staff groups. Further information, including contact details can be found on the Intranet or from line managers or People and Development. Line managers can seek advice and support from their line manager and/or People and Development as required. 6. Capability Procedure Notices are available via the Force Forms section of the intranet. A list of the relevant standard letters is contained in Appendix C. The procedures outlined in sections are in line with Parts 2, 3, 4 and 5 of the Police Service of Scotland (Performance) Regulations 2014 and the Performance Regulations Scottish Government Policy Guidance. Version

13 6.1 Improvement Action Support Before Consideration of the Formal Capability Process (f) (g) Improvement action should be initiated by the line manager and will normally arise from initial concerns regarding the officer s performance. Improvement action aims to resolve the area of concern and to ensure satisfactory levels of performance are achieved and maintained. With regards to attendance issues the support offered before consideration of the Capability Process is included in the Attendance Management SOP. Only where the support offered in the Attendance Management SOP fails to deal with attendance issues would the formal process outlined from section 6.2 be considered for attendance issues. Improvement action and the Attendance Management SOP allows managers to examine the circumstances and give support to the officer to help them to improve to the required level of competence before considering any formal action. Officers who have previously performed a role to a suitable level may simply require informal support to assist them to improve their performance to the previous level. Line managers should ensure that senior management are fully aware of all capability matters and seek advice from People and Development before and/or throughout the improvement action as required. Line managers should contact People and Development to establish any relevant past capability matters if required. Where a line manager has concerns regarding an officer s performance or standard of work, they should initially discuss the concerns with the officer on an informal basis to: remind the officer of the performance levels expected; identify clearly the ways in which the officer is under-performing and provide examples as appropriate; identify any mitigating circumstances (see section 5.6); provide encouragement and, where appropriate, training or support; and, advise that a failure to improve performance will result in progression to the formal capability procedure outlined in section 6.2 of this SOP. Although this is an informal stage of the process it will often be appropriate to provide targets for improvement and a timescale for achieving these targets. The requirement for targets/timescales and the targets/timescales themselves should be determined on a case by case basis. The line manager should keep notes of the informal discussion that have taken place in line with section 5.5 and record all relevant information on SCoPE. The line manager must ensure it is clear to the officer that this is the informal stage of the capability procedure. Version

14 (h) The discussions should be two-way with the emphasis on finding ways in which the officer can remedy any underperformance with appropriate support from line managers. (i) (j) (k) Line managers will be responsible for resolving any managerial, organisational or environmental issues which are identified as causes of poor performance. Where mitigating circumstances are identified, line managers should refer to section 5.6 and offer any appropriate support as outlined in section 5.8. Where required, an Action Plan (form ) can be developed to help ensure improvement informally. If improvement action does not result in a satisfactory improvement in performance the line manager should seek advice from People and Development before informing the officer that there will be a requirement to progress to the First Stage of the formal process outlined in section Formal Process Any line manager progressing to the formal stages of the capability procedure must ensure that they: have the relevant evidence of the underperformance/attendance; have exhausted improvement action or that Attendance Management SOP (unless advised differently by People and Development); have informed their line manager of the capability case; and have discussed the issue with People and Development. 6.3 Stage 1 Performance Meeting Where improvement action or the Attendance Management SOP have been unsuccessful in improving performance/ attendance the officer will be required to attend a Performance Meeting with their first line manager. People and Development may attend the meeting if required following discussion with the first line manager. The first line manager will provide the officer with a Notice of Requirement to Attend Performance Meeting ( ). The officer will be provided with at least five working days notice of the proposed meeting date. When writing to the officer the line manager will include the following: Version

15 notification of the procedures to confirm or rearrange the date and time of the meeting (in line with section 5.3 of the Capability (Attendance and Performance) SOP); the respect in which the officer s performance/attendance is considered to be unsatisfactory; the possible outcomes of a performance meeting, progress meeting and performance hearing; any proposed attendance at the meeting of a People and Development professional or a police adviser to advise the first line manager on the proceedings; any proposed attendance at the meeting of any other named person and the officer s right to refuse to consent to their attendance; the officer s right to seek advice from a police representative; the officer s right to be represented at the meeting by a police representative; and, the requirement to provide to the first line manager a copy of any documents on which the officer intends to rely at least 24 hours in advance of the meeting. (f) When writing to the officer the line manager must also include a copy of any document relied upon in coming to the view that the performance/attendance of the officer is unsatisfactory. The line manager should keep a record of the meeting that has taken place using the Written Record of Meeting (number ). If a First Written Improvement Notice (number ) is issued this will be provided to the officer within five working days of the meeting. This will be accompanied with a record of the meeting and any supporting action plan ( ) both of which the officer will be required to sign and return to their first line manager within seven working days. The First Written Improvement Notice ( ), Written Record of Meeting ( ) and any supporting Action Plan ( ) will ensure that the officer is informed of the: respect in which the officer s performance/attendance is considered unsatisfactory improvements required; period within which that improvement is required to take place i.e. First Improvement Period; validity period in which the officer will be required to maintain their improvement following the First Improvement Period; the officer s right to make comments on the record of the meeting within seven working days from the date on which the copy of that record is received by the officer; Version

16 circumstances in which the officer may be required to attend a progress meeting; arrangements (to be) made to assist/monitor their attainment and maintenance; timescales or review periods involved where appropriate; ownership of specific actions; and, right to appeal a First Written Improvement Notice ( ) ( (refer to section 6.4). (g) (h) Following provision of the First Written Improvement Notice ( ) and receipt of the signed Written Record of Meeting ( ) and Action Plan ( ) the first line manager must ensure that these are retained together. The first line manager must then ensure that a copy of the First Written Improvement Notice ( ) and completed Written Record of Meeting ( ) are provided to People and Development. The action plan ( ) should be provided to People and Development when the action plan ( ) is complete. 6.4 Stage 1 Performance Meeting Appeal Appeals against a First Written Improvement Notice ( ) must be submitted to the officer s second line manager within seven working days of receipt of the improvement notice. This appeal will be considered as soon as reasonably practicable by the second line manager. The submission of an appeal does not affect the continuing operation of a First Written Improvement Notice ( ) Submission of Appeal An officer may appeal against the finding that the officer s performance/ attendance is unsatisfactory and any term of the improvement notice within 7 working days of receiving the improvement notice and this should be submitted on an Appeal Against Finding and Outcome of Performance Meeting (form ). The terms are: the respect in which the officer s performance/attendance is considered unsatisfactory the improvement that is required in performance/attendance; and the length of the improvement period. The grounds for appeal are: that the finding of unsatisfactory performance/attendance is unreasonable; that any of the terms outlined in 6.6. are unreasonable; Version

17 that there is evidence that could not reasonably have been considered at the performance meeting which could have affected materially the finding of unsatisfactory performance/attendance or the terms; and, that there was a breach of the procedures set out in this SOP or any other unfairness which could have affected materially the finding of unsatisfactory performance/attendance or the terms An appeal should include the following: the finding or the term (or both) against which the appeal is made; the grounds of appeal; and, any evidence on which the officer intends to rely Consideration of Appeal The Chair of the appeal must decide whether to require the officer is required to attend an appeal meeting or determine the appeal without the need for a meeting. The decision to determine an appeal without a meeting must only be taken where the officer agrees to this approach. If an appeal meeting is to be held the second line manager must provide the officer with a Notice of Requirement to Attend Performance Appeal Meeting (number ) giving details that mirror the requirements of section 6.3 of this SOP. The only exception to this is that there is no requirement for the officer to provide the second line manager with any documents in advance other than the appeal documentation they have already submitted. At the meeting the second line manager must provide: the officer with the opportunity to make representations; and, the police representative (where applicable) with the opportunity to make representations in line with section 5.4 of this SOP. The second line manger may postpone or adjourn the performance appeal meeting to a later date or time if it appears necessary or expedient to do so and rules for organising this meeting are in line with section 5.3 of this SOP Appeal Outcome Following the appeal meeting the second line manager may confirm or reverse the finding of unsatisfactory performance/attendance; and confirm or vary any of the relevant terms against which the appeal is made. Version

18 Where the second line manager reverses or varies any decision this will substitute the finding, the First Written Improvement Notice ( ) (and the terms against which the appeal was made. Copies of updated First Written Improvement Notice ( ) and Action Plan ( ) (where applicable) should be provided to People and Development at the completion of the appeal process. This should also be accompanied by a record of the meeting. 6.5 Stage One Assessment of Performance/Attendance at the Conclusion of the First Improvement Period During the improvement period the line manager will hold regular informal meetings with the officer, to provide feedback on the progress and to continue to encourage improved performance or attendance. The line manager will record a note of these meetings via the Written Record of Meeting ( ) and update the Action Plan ( ) as required. A Performance/Attendance Review Meeting will be held at the end of the First Improvement Period by the officer s first line manager to assess whether sufficient improvement in performance/attendance has been achieved and sustained or whether a Progress Meeting is required. Information in relation to this meeting must be recorded by the line manager on a First Line Manager Review ( ). The performance/attendance review meeting will identify how the capability process will progress depending on whether the line manager considers that: the performance/attendance levels have been fully met; circumstances are identified which warrant the review period being extended; or there has been unsatisfactory improvement in performance/attendance. Advice should be sought from People and Development in advance of any review meeting where it is not likely that the performance/attendance standards will be fully met. It must be ensured that People and Development are aware of the outcome of any Performance/Attendance Review Meeting Performance/Attendance Standards Fully Met If the review meeting establishes that there has been a sufficient improvement in performance/attendance the line manager will acknowledge this, and the officer will be advised of the requirement for the improvement in their performance/attendance to be sustained for the length of the validity period. Version

19 Written notification of this will be provided (letter template available from People and Development), which will be maintained in the officer s personal file for the length of the validity period. Where there is concern that performance/attendance has subsequently returned to an unsatisfactory level during the validity period the capability procedure will resume at the Stage 1 review meeting to determine whether the officer should be progressed to the Stage 2 Progress Meeting (refer to section 6.6). The First Improvement Notice will be removed from the People and Development File in line with the relevant Record Retention SOP/schedule Circumstances Identified for Extension of Improvement Period Circumstances may be identified that merit an extension of the improvement period to ensure performance/attendance can be appropriately assessed before deciding whether to progress to the next stage. The line manager must receive approval from an officer of the rank of Superintendent or above. An extension to the review period will normally only be permitted once before deciding to progress to the next stage Unsatisfactory Improvement If the review meeting establishes that there has not been a satisfactory improvement in performance/attendance the procedure will go to a Progress Meeting as outlined in section 6.6. This will require the first line manager to advise People and Development and progress all relevant paperwork to the second line manager to ensure they are prepared and aware of the requirement to progress to Stage Stage 2 Progress Meeting, Appeal Process and Assessment of Performance/Attendance Where the First Written Improvement Notice (Should this be review meeting identifies an insufficient improvement in performance/attendance the officer receive a Notice of Requirement to Attend Progress Meeting ( ) from their second line manager. People and Development may attend the meeting if required following discussion with the second line manager. The process for the Progress meeting will mirror that outlined in section 6.3 for the Performance Meeting with the only differences being: the Progress Meeting will be carried out by the Second Line Manager and the written record will be included on a Written Record of Meeting ( ); the Progress Meeting may only consider performance/attendance issues that are similar to or connected with the unsatisfactory performance/attendance referred to in the First Written Improvement Notice. Version

20 the Second Line Manager will be able to refer to improvement action and support provided during the Performance Meeting; the First Line Manager may be in attendance to provide information in relation to the previous stage; the outcome of the Progress Meeting, where no or insufficient improvement was determined, would be a Final Written Improvement Notice ( ) rather than a First Written Improvement Notice (Should this be i.e. failure to improve following Progress Meeting would result in a Performance Hearing rather than Progress Meeting; and appeals against a Final Written Improvement Notice ( ) will be submitted on an Appeal Against Finding and Outcome of Progress Meeting (number ) to the senior manager (third line manager) within seven working days of receipt of the improvement notice. The hearing must then take place as soon as is reasonably practicable and, where applicable, the individual must receive a Notice of Requirement to Attend Progress Appeal Meeting ( ) and a Determination of Progress Appeal Meeting ( ) to inform the officer of the outcome. the reasons, grounds and process for appeals are the same as stage one with the addition that an appeal may be submitted on the basis that the performance/attendance issue is not similar to or connected with the unsatisfactory performance/attendance referred to in the First Written Improvement Notice Where an officer is required to attend a progress meeting and it is found that the officer s performance or attendance has improved or been maintained (contrary to the first line manager s assessment) the second line manager will inform the officer that no further action will be taken at that meeting. The First Written Improvement Notice ( ) will remain in place for the entire validity period and the officer can still be required to attend another progress meeting if they do not maintain their improvement throughout the 12 months that the improvement notice is valid. The performance/attendance review meeting at the end of the improvement period would continue to be carried out by the officer s line manager and therefore this would mirror the process outlined in section 6.4. If the review meeting establishes that there has not been a satisfactory improvement in performance/attendance the formal process will progress to stage three which may result in dismissal with notice or a reduction in rank due to incapability as per section Stage 3 Performance Hearing Version

21 Where the Stage 2 process has been unsuccessful in satisfactorily improving and maintaining performance/attendance the officer will be progressed to a Performance Hearing Nomination of Chair and People And Development Professional (Where Applicable) People and Development will recommend an appropriate chair to the Deputy Chief Constable (Designate) who will confirm this selection. The Chair will normally be a Chief Superintendent with relevant experience who has not been involved in a previous stage of the procedure, however the Chair may be a Superintendent provided that they have the relevant experience and that the nomination is approved by the Deputy Chief Constable (Designate). In addition a People and Development Professional and/or Police Adviser may be appointed to advise the Chair on the Performance Hearing. Their role is to advise on process and they are not there to support the decision making process. Nominations should be selected on the basis that there are no reasonable concerns that those selected could act impartially. An officer may object to the appointment of the Chair, People and Development Professional and/or Police Adviser and this objection must be made in writing to People and Development no longer than three working days after being notified in writing of their requirement to attend a Performance Hearing. This objection must indicate the officer s reasons for objecting. People and Development must recommend to the Deputy Chief Constable (Designate) whether to uphold an objection and must notify the officer in writing of that decision. If the objection is upheld the Deputy Chief Constable (Designate) must nominate a replacement, following a recommendation from People and Development, and inform the officer in writing of the person appointed. People and Development must arrange for those appointed under section to receive the following: any document which was available to the first line manager in relation to the performance meeting; any document which was available to the second line manager in relation to the progress meeting; the records of the performance meeting and the progress meeting; any submission made under section 6.7.3; documents relating to appeals from the Performance and Progress Meetings; and the First Written Improvement Notice ( ) and the Final Written Improvement Notice ( ). Version

22 6.7.2 Timescale for Performance Hearing The Performance Hearing must take place not later than 35 working days after a notice has been sent to attend a Performance Hearing. The Chair may extend this time period if it would be in the interests of fairness to do so Notification of Requirement to Attend Performance Hearing The Senior Manager must write to the officer using a Notice of Requirement to Attend Performance Hearing (106/017) inviting them to a Performance Hearing. The notice will include the following: Details of the nominated chair and People and Development professional (where applicable) and their right to object to these nominations (refer to section 6.7.1) for more details) notification of the procedures to confirm or rearrange the date and time of the meeting (in line with section 5.3 of the Capability (Attendance and Performance) SOP; the respect in which the officer s performance/attendance is considered to be unsatisfactory; the possible outcomes of a performance hearing; The officer s entitlement to provide a written submission to be considered during the hearing (refer to section for more details) The process for requesting consideration of witnesses (refer to section for more details) any proposed attendance at the meeting of the first line manager, the second line manager or the senior manager; any proposed attendance at the meeting of any other named person and the officer s right to refuse to consent to their attendance; the officer s right to seek advice from a police representative; the officer s right to be represented at the meeting by a police representative; and the requirement to provide to the chair a copy of any documents on which the officer intends to rely at least seven days in advance of the meeting Officer s Written Submission Version

23 The officer must, not later than 20 working days from receipt, respond in writing to the Written Notice to Attend Performance Hearing Form. The officer must confirm whether they accept/do not accept the first line manager s opinion to progress to a hearing. Where the officer accepts the first line manager s opinion they may make a written submission to the Deputy Chief Constable (Designate) confirming this. Alternatively where the officer wishes to dispute the requirement to progress to a hearing they must submit a written submission explaining the reasons for not accepting that opinion. A written submission must be accompanied by any document on which the officer intends to rely at the performance hearing Selection of Witnesses (f) The first line manager and the officer must, no later than 10 working days after receipt by the first line manager of the officer s response under section 6.7.3, supply to each other the names and addresses of any witnesses on whom they propose to rely at the performance hearing and a summary of the evidence each witness will give; or notice that they do not intend to rely on any witnesses. The senior manager and the officer must, if it is reasonably practicable to do so, agree on a joint list of witnesses and provide that list to the Chair. If it is not possible to agree on a joint list of witnesses, they must each supply their own list of proposed witnesses to the chair. As soon as reasonably practicable after receiving lists of witnesses the Chair must decide which, if any, of the listed witnesses should attend the hearing and notify the senior manager and the officer of that decision. The Chair may determine that witnesses not included in any list under this regulation (whether joint or otherwise) are to attend the performance hearing. The Chair must not decide that any witness is to give evidence at the performance hearing unless they reasonably consider that it is necessary for the witness to do so. The Chair must notify in writing any witness who is to attend the performance hearing via the Determination of Witnesses ( ) The Hearing Version

24 Where the Chair decides to postpone or adjourn a performance hearing in line with section 6.7.1, they must notify the Deputy Chief Constable (Designate), the officer and nominated People and Development Professional/police adviser (where applicable) of the revised date, time and place of hearing and the reasons for the postponement or adjournment. The Chair should keep a record of the meeting by completing a Written Record of Meeting ( ). At the hearing the Chair must: explain to the officer how their performance/attendance is considered to be unsatisfactory; and, provide the officer, or the officer s police representative, with an opportunity to make representations in response. The Chair may permit the officer or police representative to ask questions of any witness and an audio recording of the hearing must be made and the officer must, on request be supplied with a copy of that recording Following the Performance Hearing Following the performance hearing the Chair must decide whether: the officer has in fact met the required improvement in performance/attendance; or the officer has failed to make the required improvement in performance/attendance by the end of the Final Improvement Period, or failed to maintain this improvement until the end of the validity period. Within three working days of the conclusion of the performance hearing the Chair must give both the officer and their first line manager the Performance Hearing Notification of Decision and Disposal ( ). This will contain: the decision; the reason for the decision; and the outcome following this decision (refer to section for more details). Where an officer is required to attend a performance hearing and it is found that the officer s performance/attendance has improved or been maintained (contrary to the second line manager s assessment) the chair will inform the officer that no further action will be taken at that meeting. The first improvement notice will remain in place for the entire validity period and the officer can still be required to attend another performance hearing if they do not maintain their improvement throughout the 12 months that the improvement notice is valid. Version

25 6.7.8 Performance Hearing Outcome If the chair decides that the officer s performance/attendance is unsatisfactory they may order: Dismissal with notice; Demotion in rank; or an extension of the Final Written Improvement Notice. If dismissal is ordered the period of notice must be determined by the Chair, but must be not less than 28 days; An extension of the Final Written Improvement Notice ( ) may be ordered only where the Chair is satisfied that there are exceptional circumstances which justify such an outcome. If an extension of the Final Written Improvement Notice ( ) is ordered the Chair must amend the terms of the Final Written Improvement Notice: to state that if the officer does not make a sufficient improvement in performance/attendance within a reasonable period specified by the Chair (being a period of no more than six months from the date of extension) the officer may be required to attend a further performance hearing; and, to specify a new validity period. The Chair may also amend the terms of the Final Written Improvement Notice ( ) which relate to: the respect in which the officer s performance/attendance is considered to be unsatisfactory; or the improvement that is required in the officer s performance/attendance Appeals Appeals at this stage must be submitted to People and Development no later than 30 working days from the date that written notice of the outcome of hearing was provided to the officer. This appeal should be submitted on an Appeal Against Finding of Performance Hearing ( ). People and Development will recommend a Senior Officer to the Deputy Chief Constable (Designate) to conduct the hearing. Where the appealing officer is a Chief Superintendent a Deputy Chief Constable other than the Deputy Chief Constable (Designate) will be nominated. The Chair of the appeal must send Notice of Requirement to Attend Appeal Against Outcome of Performance Hearing ( ) to the officer within 30 Version

26 working days of receiving the appeal requiring the officer to attend an appeal hearing, whilst also specifying the date and time for that hearing. The appeal hearing is to be heard not more than 10 working days from the date on which the officer received notice to attend the appeal hearing. The officer must receive a Determination of Performance Hearing Appeal ( ). Where an officer is demoted or dismissed the reasons, grounds and process for appeals as is outlined at section 6.4 of this SOP with the following differences: an appeal may also be submitted on the basis that the performance/attendance issues is not similar to or connected with the unsatisfactory performance/attendance referred to in the Final Written Improvement Notice; and the chair s decision to hold an appeal hearing or determine the appeal without holding a hearing is a decision for the chair and is not dependent on whether the officer wishes a hearing to take place. 7. Roles and Responsibilities 7.1 Officers Officers are responsible for: ensuring they understand their role in the organisation; highlighting any areas of concern with their line manager; keeping up to date with any necessary skills to carry out their role; performing and attending to the required level; passing exams/training courses where applicable; and attending any meetings and hearings convened in accordance with the capability procedure. 7.2 Line Managers and Supervisors Line managers and supervisors are responsible for: the overall management and performance of officers under their supervision; setting realistic levels of performance and attendance; providing adequate support, training and guidance to ensure all officers have the opportunity to perform well and attend work where possible; discussing performance and attendance with officers and providing regular feedback; Version

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