Policy and Procedure Development and Review

Transcription

1 WILTSHIRE POLICE FORCE PROCEDURE Policy and Procedure Development and Review Date of Publication: December 2017 Version: 3.0 Next Review Date: December 2020

2 TABLE OF CONTENTS PROCEDURE OVERVIEW... 3 GLOSSARY OF TERMS... 3 STRATEGIC PRIORITIES... 3 RELATED POLICIES, PROCEDURES and OTHER DOCUMENTS... 3 AUTHORISED PROFESSIONAL PRACTICE... 3 DATA PROTECTION... 3 FREEDOM OF INFORMATION ACT MONITORING and REVIEW... 3 WHO TO CONTACT ABOUT THIS PROCEDURE... 3 RESPONSIBILITIES... 4 APPROVAL OF POLICY AND PROCEDURES... 5 PART A - DEVELOPMENT OF NEW POLICY/PROCEDURE POINTS TO CONSIDER DRAFTING A NEW POLICY/PROCEDURE DEVELOPMENT PROCESS PART B - REVIEW OF EXISTING POLICY/PROCEDURE REVIEW PROCESS CONDUCTING A REVIEW PART C - DEVELOPMENT AND REVIEW ESSENTIAL ELEMENTS CONSULTATION COMPLIANCE APPENDIX A: New Policy/Procedure Development Process APPENDIX B: Policy/Procedure Review Process APPENDIX C: Policy/Procedure Development Checklist APPENDIX D: Policy Review: Substantive Amendments - Steps to Follow APPENDIX E: Review Checklists DOCUMENT ADMINISTRATION Version: Next Review: December 2020 Page 2 of 25

3 PROCEDURE PROCEDURE OVERVIEW This document aims to give guidance and direction to all staff members involved in the development and reviewing of Force policy and procedure. This procedure should be read in conjunction with the Force Policy/Procedure Development and Review Policy. GLOSSARY OF TERMS Term Meaning APP Authorised Professional Practice DIA Diversity Impact Assessment FPP Force Policy and/or Procedure JNCC Joint Negotiating and Consultative Committee for Police and Support Staff SCT Senior Command Team RELATED POLICIES, PROCEDURES and OTHER DOCUMENTS This policy applies to all existing and new internal Wiltshire Police policies and procedures. Policy/Procedure Development and Review Policy Freedom of Information Policy Data Protection Policy AUTHORISED PROFESSIONAL PRACTICE: There is no area of Authorised Professional Practice that directly relates to this procedure. DATA PROTECTION Any information relating to an identified or identifiable living individual recorded as a consequence of this procedure will be processed in accordance with the Data Protection Act 2018, General Data Protection Regulations and the Force Data Protection Policy. FREEDOM OF INFORMATION ACT 2000 This document has been assessed as suitable for public release. MONITORING and REVIEW Continuous Improvement Team is responsible for monitoring and reviewing this procedure by conducting a regular review of the efficiency and effectiveness of its application. This includes a review by the following measures: Feedback on the content of this policy from policy users. Environmental Scanning of policy related matters (including best practices) on Firstpoint and the internet. Implementation of actions arising from Diversity Impact Assessments. WHO TO CONTACT ABOUT THIS PROCEDURE The Head of Strategic Development and the Continuous Improvement Team own this policy; any queries regarding the policy content should be directed to The Continuous Improvement Team by to policies@wiltshire.pnn.police.uk or by phoning Version: Next Review: December 2020 Page 3 of 25

4 RESPONSIBILITIES Any member of staff tasked with developing new policy/procedure is responsible for: ensuring that the new policy/procedure is sponsored by the relevant ACC/ACO responsible for that business area drafting the new policy/procedure aligning the policy/procedure with APP consultation and implementation of the new policy/procedure and completion of a Diversity Impact Assessment. The department owning a policy or procedure is responsible for maintaining and reviewing that policy/procedure. All FPPs should be reviewed at least once every 3 years with critical areas reviewed yearly. The Head of Department (Superintendent/Staff equivalent) is responsible for all policies and procedures falling within their business area. Heads of departments have the responsibility of ensuring that their FPPs are relevant, accurate and fit for purpose. The Continuous Improvement Team, through the Force Policy Officer, has responsibility for overseeing all Force Policies and Procedures and for ensuring that the relevant department head is notified prior to a policy/procedure s next review date. The Continuous Improvement Team will maintain a log of all Force policies and Procedures; this log can be found on the Force Policy Site. FPPs that are no longer current working practice will be withdrawn, archived and removed from shared Firstpoint sites - the responsibility for removing archived documents rest with relevant site owner. A copy of all archived FPPs will be retained for future reference and audit purposes by the Continuous Improvement Team. Version: Next Review: December 2020 Page 4 of 25

5 APPROVAL OF POLICY AND PROCEDURES The appropriate approval level for all new and substantially amended policies and procedures is determined by the category the policy/procedure falls under: Category 1: Politically or strategically sensitive policies or procedures must be approved by the Senior Command Team (a Category 1 policy/procedure would be one that has been created or substantially amended as a result of an IPCC investigation, HMIC inspection, legal judgement etc.). Category 2: Operational Policing policy/procedure not falling into Category 1 - must be approved by the relevant ACC. The Head of Department is responsible for updating the ACC on the creation of a new policy. Policy/procedure affecting or changing employee terms of employment or working conditions also have to be approved by the Joint Negotiating and Consultative Committee for Police and Support Staff (JNCC). Category 3: Non operational - must be approved by the ACC or relevant ACO or a representative body (e.g. Health and Safety Committee) for the area responsible for that policy/procedure (depending upon the policy contents and the level of consultation that has taken place during its drafting). The Head of Department or equivalent is responsible for updating the relevant ACC or ACO on the creation of a new policy. This category includes, for example, departments within the Chief Finance Officer and Business and People Development remits. Policy/procedure affecting or changing employee terms of employment or working conditions also have to be approved by the Joint Negotiating and Consultative Committee for Police and Support Staff (JNCC). If there is any question concerning the effectiveness of any new or amended policy or procedure (whatever category) then that policy/procedure will be submitted to the Senior Command Team for final approval. Advice on the correct category and approval route can be obtained from the Continuous Improvement Team. Version: Next Review: December 2020 Page 5 of 25

6 PART A DEVELOPMENT OF NEW POLICY / PROCEDURE 1. POINTS TO CONSIDER Before drafting a new policy or procedure you need to ask yourself whether the process you are introducing can be achieved in some other way. Once the need for a new policy or procedure has been identified the process detailed in section 3 should be followed: The questions to consider are: 1.1. Is a new policy/procedure required? In order for policies and procedures to be fully effective it is important that they are evidence-based. When considering the need for a new policy/procedure you must consider what evidence can be used to show that the policy/procedure you are proposing is the right one for the Force. Think about: What is the policy/procedure about? What do you want to achieve? Is a new policy/procedure the best way to achieve this? What is the expected benefit of introducing the new policy/procedure? A policy/procedure may be required if: there is a clear strategic, legal or operational requirement? there is a clear need for a standard of behaviour? it is needed to help mitigate a high risk? If the policy/procedure is required the member of staff tasked with drafting the document is responsible for ensuring that it is authorised by the Head of Department and sponsored by the relevant ACC/ACO responsible for that business area When drafting a new policy/procedure it is important that you consider and clearly state what the implications will be if a staff member fails to adhere to that policy/procedure. It is therefore important to consider: Who the policy/procedure is most likely to affect and are there any difficulties they may have in complying with the proposed policy/procedure? 1.2. Is there an existing Policy or Procedure? Does a Force or National policy/procedure (including ACPO Guidance or APP) already exist covering the issue or process you are considering? Does a Policy/Procedure already exist that the area under consideration could fall within? If so you need to consider whether it is necessary to create a new policy/procedure or if the issue you have identified can be dealt with by incorporating it into the existing policy or procedure. All current Force policies and procedures can be found on the Firstpoint Policy and Procedure Tab. Further advice on developing a policy/procedure can be can be obtained from the Continuous Improvement Team. Version: Next Review: December 2020 Page 6 of 25

7 1.3. Is the document you are drafting a Policy, Procedure or Guidance. It is important to remember that a failure to comply with a Force policy/procedure could lead to disciplinary action by the organisation. It is therefore important to consider what type of document may best fit your purpose. Policy is a general statement to guide thinking; who, what and why. Procedure is a detailed statement on how a policy is to be implemented or a process carried out. Guidance is a statement of good practice or sensible steps Policy A policy is a succinct high level statement that establishes and sets out the Forces position, or desired position in relation to a relevant and significant issue. A policy should set out what the Force aims to achieve and why. Policy should support and be in line with the Forces Delivery Plan and Values & Behaviours. Policy should provide a basis for consistent decision-making and resource allocation and should be aimed at assuring consistency and fairness in how those decisions are taken within the framework of the Forces Delivery Plan Procedures Procedures outline specific sets of rules, steps or requirements that have to be followed. Most procedure flows from Force Policy; however, procedure can exist independently as it acts as a statement of how something should be done. Procedures can be restrictive in that they state clearly what actions should be taken in relation to a particular circumstance and failure to carry out those steps could lead to legal challenge and/or disciplinary action. Care should therefore be taken in deciding whether a Procedure is required as opposed to Guidance which is a description of good practice or sensible steps (see below). A Procedure should not be saved with Policy in the title and a Policy should not be saved with Procedure in the title - e.g. a procedure for dealing with pigeons should not be saved as the Pigeon Policy Guidance Guidance provides advice and information on good practice or sensible steps that should be followed. It lays out the Forces desired approach but is not as prescriptive as Procedure and, generally, allows an individual to adopt a different approach should the circumstances at the time require one. Version: Next Review: December 2020 Page 7 of 25

8 2. DRAFTING A NEW POLICY/PROCEDURE 2.1 Getting Started It may assist you in developing your document by asking yourself the following: What is the Policy/Procedure seeking to achieve? (What are the expected benefits?) Who is the Policy/Procedure for? (Who are the key stakeholders? Who will benefit from it?) Who will be responsible for delivering the Policy/Procedure? All policies and procedures must be written on the current corporate Policy or Procedure template, and developed in line with the Development Process (section 3 below). Be clear, from the start, on how the new policy/procedure fits in with other policies, procedures (both Force and National) and ACPO Guidance/Authorised Professional Practice. Overlaps and duplication often lead to confusion. Policy should be easy to understand. Use short and concise sentences and paragraphs, keep jargon to a minimum and do not allow detailed procedures to creep in. Your policy should be consistent with the Forces Delivery Plan and Values & Behaviours. The Policy should clearly state what the Forces policy is, how people comply with the policy (this may refer to a separate procedure document, guidance document etc.) and the implications of not complying with the policy. Procedure should be kept clear of extraneous explanations. Whilst the background to the procedure is important the documents main purpose is to provide staff with the directions they need to follow. Keep paragraphs as short and concise as possible remember: you may understand the procedure but would someone unfamiliar with it be able to follow and understand it. Use flowcharts and process maps where necessary. It is good practice to notify the people/groups, most likely to be interested in or directly affected by the policy/procedure, of your intention to develop the proposed policy/procedure. This may help to highlight any possible difficulties or problems you may encounter and allow you to consider any suggestions offered at an early stage. It is important to also consider at an early stage how the policy/procedure will be monitored and reviewed and what evidence you believe will be useful in determining the effectiveness of the policy/procedure. Ineffective documents create needless bureaucracy and may lead to bad decisions being made. Check that the information in your policy/procedure is structured in a logical and chronological order? Inserting sub-headings can make the details easier for users to understand and access. When drafting your policy or procedure be aware of the importance of Data Quality. Every effort must be made to ensure that all elements of information stated in your document, including factual details and spelling, are correct. Aspects of data quality include: accuracy; completeness, relevance, consistency, reliability, appropriate information/language and accessibility. It may be useful to reality check your policy/procedure with people who will need to comply with it on a day to day basis. Version: Next Review: December 2020 Page 8 of 25

9 2.2 Force Templates The Forces current policy and procedure templates can be found on FirstPoint on the Force Policy site. Each section of the templates contains guidance notes on completion of that section. The final pages of the template (titled Document Administration) are to be used to provide an audit trail and record information that is useful when reviewing the policy/procedure. This section must be completed as your draft policy/procedure progresses. If you are drafting a combined policy and procedure document a clear distinction needs to be made between the Policy and the Procedure parts of the document. Use the Policy template and draft the procedure section on a new page inserted after the section titled Who to Contact About This Policy and before the Document Administration pages. [Take the cursor to the bottom of page 3 of the Policy template and press enter this should automatically insert a blank page]. 2.3 Version Control When drafting a new policy/procedure (or updating an existing one) it is important to use version control to clearly identify the development of the document and provide a clear audit trail. This allows you, for example, to retain (and identify) the first draft which was submitted to a group for comment; the draft which was generated as a result of any comments; the versions that went back and forward for further comment; and the final version which is submitted for approval by the Senior Command Team. This tool is also useful where you are working on a document with others. Changes made by different individuals at different times can be easily identified. Version control can be achieved by adding a number to the document template. Each successive draft of a document is numbered sequentially from 0.1, 0.2, 0.3 until a finalized version is complete - this would be classed as Version 1.0. If version 1.0 is to be revised, drafts would be numbered as 1.1, 1.2 until Version 2.0 is complete. The version number should appear on the facing page of the document and in the footer of each page along with the date that the version was created. Version: Next Review: December 2020 Page 9 of 25

10 3. DEVELOPMENT PROCESS (see checklist Appendix A) All new Policy / Procedures must be sponsored by the Senior Officer/Head of Department responsible for your business area. Once the need for a new policy or procedure has been identified the following process should be followed: Step: 1. Author begins to research what needs to be incorporated into the policy/procedure, who will rely on the policy/procedure and which people/groups should be consulted with. It is advisable to contact potential consultees at this stage in order to inform them of the proposed policy/procedure and the reason why it is required. Feedback at an early stage can assist with the drafting of the document. The author should also begin to consider the Diversity Impact Assessment (DIA) (see Part C section 8.1). Author notifies the Continuous Improvement Team (Force Policy Officer) of the need and reason for the new policy/procedure (for appropriate contact - see Responsibilities above). The Continuous Improvement Team will advise you on any existing policy/ procedures relating to your proposal, formulating your policy/procedure, completion of the relevant template, Diversity Impact Assessment, consultation, compliance issues and, where required, assist with research such as other forces policy and procedures. 2. Author formulates the Policy/Procedure and begins to draft the document on the appropriate Force Template. This should be clearly watermarked as a DRAFT document. 3. Once you have a draft document you need to initiate formal consultation with appropriate stakeholders (internal and external). (See Part C for more detail on consultation). 4. Following consultation the author makes any amendments required and if necessary recirculates to the stakeholders for further comment. 5. Author finalizes the DIA and, if necessary and proportionate, amends the policy/procedure to remedy any issues raised. If necessary the author re-circulates the policy/procedure to the stakeholders for comment on the amendments. [Note: the DIA may throw up issues that cannot be remedied, the DIA should detail how the issue can be mitigated and to what extent. 6. An appropriate period is agreed (by the Author and Continuous Improvement Team) on the Policy/Procedures next review date. [Note: It is recommended that a one year review period is adopted however; a review period should be no longer than a maximum of 3 years]. 7. The final draft of the Policy/Procedure and DIA is sent to the Continuous Improvement Team (Force Policy Officer) for QA before being submitted for approval (see page 7 above). [Note: If your policy/procedure affects or changes employee terms of employment or working conditions the new policy/procedure will also have to be approved by JNCC. All policies and procedures falling under the remit of People Services will need approval by JNCC]. Version: Next Review: December 2020 Page 10 of 25

11 8. If, following submission for approval, an amendment is required the draft document is passed back to the Author to make the amendment or provide an explanation as to why it may not be appropriate. If necessary the amended document is re-circulated to the stakeholders for comment. 9. The amended Policy/Procedure is passed back to the Continuous Improvement Team and (if necessary) the approving body (SCT, ACC/ACO etc.). 10. Once approved the Policy/Procedure document will be stored on the Force Policy Site and the Policy/Procedure Log updated by the Continuous Improvement Team. 11. The owner, in liaison with the Continuous Improvement Team, arranges publication of the Policy/Procedure force wide through E-Brief and to affected officers and staff by etc. Publication should not occur prior to formal approval. [Note: Under the Freedom of Information Act and Force Publication Scheme all policies and procedures not exempted from the Act will be made accessible to the public by publication on the Forces Website (see Part C section 7.2 for more information on Freedom of Information)]. 12. Where required training should be provided for those implementing/using the policy/procedure and any changes to IT systems (not already in place) put into place. 13. The Author monitors the effectiveness of the Policy/Procedure and DIA as stated in the Monitoring and Review section of the document. [Note: It is good practice to have a process in place that assures the regular formal review of policies and procedures. Details of how the policy/procedure will be monitored (including what information will be used to measure the effectiveness of the policy/procedure and how that information will be gathered) should be stated in Monitoring and Review section of the Policy or Procedure document]. If the Policy/Procedure works effectively then the Policy/Procedure is reviewed on the agreed review date. The Continuous Improvement Team will monitor the review dates and notify the relevant department/owner prior to the due review date. 14. If any amendments are required to improve the effectiveness of the Policy/Procedure the author notifies the Continuous Improvement Team who will then release the word version of the document for amendment. (See Part B below). Version: Next Review: December 2020 Page 11 of 25

12 PART B REVIEW OF EXISTING POLICY / PROCEDURE Policies and procedures must be reviewed on a regular basis (scheduled review) and can be reviewed prior to the next review date if necessary (unscheduled review). Similarly the decision to adopt APP content or ACPO Guide should also be reviewed at regular intervals to ensure that the adoption is still the best approach for the Force. An unscheduled review may be necessary where there is new/revised legislation, changes to external guidance/authorised Professional Practice (ACPO, Home office etc.) an external occurrence that affects the operation of the policy or procedure (IPCC Report, legal action etc.) or because that policy/procedure has failed to be effective (see section 4.2 below). A scheduled review requires more than just reading through that policy/procedure; a number of important elements must be considered. These elements are listed in section 5 (below). The idea is to identify the lessons learnt from the use of that policy/procedure and to make amendments to improve future performance; it is about listening and responding to stakeholder feedback and trends emerging from monitoring data. The correct use of Version Control will assist you in tracing any changes that you make to your document and will ensure that the most up to date version is available to users (see section 2.3). 4. REVIEW PROCESS 4.1 Scheduled Review When a policy or procedure is due for a scheduled review the Continuous Improvement Team will notify the relevant department/owner that their policy/procedure is due for review. The owner or delegated person will then review the policy/procedure and the DIA as detailed in section 5 below. If no DIA had been completed when the policy/procedure was last reviewed then a new DIA will need to be carried out. Whilst conducting your review you should consider if, in light of the review, you need to update the sources of information listed in the Monitoring and Review section of the policy/procedure to assist the next scheduled review? Your review will result in one of three outcomes: A. Policy/Procedure and DIA still applicable but needs amending/updating. B. Policy/Procedure and DIA still applicable but no amendments/updates are required. C. Policy/Procedure no longer required. Following completion of your review the Policy/Procedure and DIA is sent to the Continuous Improvement Team for QA. The Continuous Improvement Team will then advise on the level of sign off/approval required. ALL POLICIES AND PROCEDURES SUBJECT TO REVIEW NEED TO BE ADAPTED ONTO THE CURRENT FORCE POLICY / PROCEDURE TEMPLATE. A. Policy/Procedure and DIA still applicable but needs amending/updating. Where the Policy/Procedure or DIA is still applicable but amendments/updates need to be made the Author should follow the steps detailed in Appendix D. Minor editorial updates that do not affect the title or substance of the policy/procedure do not need to go through the formal approval process. These include correction of typographical errors or changes to: stakeholders, policy owner, contact person/maintainer or key words and definitions. Version: Next Review: December 2020 Page 12 of 25

13 B. Policy/Procedure and DIA still applicable but no amendments/updates are required. Where the Policy/Procedure is still applicable but does not need amending/updating the Reviewer changes the last review date and next review date sections (Front page, document admin pages and Footer) as appropriate. The Author returns the document to the Continuous Improvement Team for storage. C. Policy/Procedure no longer required. If the policy/procedure is no longer required then the document is returned to the Continuous Improvement Team for archiving. All links/copies of that Policy/Procedure should then be deleted. This will prevent numerous copies of obsolete Policy/Procedure documents being accessible through a Firstpoint search. [Note: Before the final decision is made the Author must consult with the appropriate stakeholders (internal and external) on the implications of withdrawing that policy/procedure. Consultation should include (but not necessarily be restricted to) the stakeholders consulted with when the policy/procedure was first implemented]. [Note: Approval of the decision by SCT or ACC/ACO may also be required] If the policy/procedure is being replaced then the original is returned to the Continuous Improvement Team for archiving and the replacement Policy/Procedure goes through the New Policy/Procedure process detailed in Part A above. 4.2 Unscheduled Review If an unscheduled review is required the relevant department/owner responsible for the policy/ procedure should inform the Continuous Improvement Team of the reason for the review. An unscheduled review may be triggered by: new/revised legislation, changes to external guidance/authorised Professional Practice (ACPO, Home office etc.) an external occurrence that affects the operation of the policy or procedure (IPCC Report, legal action etc.) or changes to the Police and Crime Plan or the Force Delivery Plan because that policy/procedure has failed to be effective. The Continuous Improvement Team in consultation with the department/owner will assess the urgency and schedule/timeframes of the review and the level of review required. Head of the owning department will nominate an officer/member of staff to carry out the review. The level of review will depend on the nature of the triggering factor; minor amendments will not necessarily necessitate a full review. If a full review of the policy/procedure (and DIA) is required it should be carried out as detailed in section 5 below. Following completion of your review the Policy/Procedure and DIA is sent to the Continuous Improvement Team for QA. The Continuous Improvement Team will determine the level of approval required. Version: Next Review: December 2020 Page 13 of 25

14 5. CONDUCTING A REVIEW The review of your policy/procedure must address the following: Is the policy/procedure still required? Is the policy/procedure achieving its objectives? is the policy and/or procedure still consistent with:- the assumptions and objectives that led to the adoption of the policy/procedure best practice the Forces Delivery Plan the Police and Crime Plan Authorised Professional Practice national codes of practice/guidance domestic and European legislation or case law Has the policy/procedure had any unintended consequences (i.e. hindering operations or processes/tasks such as the ability of an officer or staff member to do their jobs efficiently)? Is the policy/procedure being applied/used effectively? (i.e. do the people affected by or expected to use the policy/procedure do so). If not, is this because the policy/procedure is not right or is it because the application of the policy/procedure needs to be changed (better communication, training etc.)? Have there been any constraints on implementing the policy/procedure at lower organisational levels (i.e. have the people affected by or expected to use the policy/procedure been able to do so). Does the policy/procedure interfere with or replicate any other policy or procedure? Do any related policies/procedures need to be revised or withdrawn because of your policy or procedure or any changes you are making? Can the procedure you are reviewing be done in a better more efficient way? In order for policies and procedures to be fully effective it is important that they are evidence-based. When considering the above you must consider what evidence can be used to show that the policy/procedure is the right one for the Force. 5.1 Evidence In conducting your review it is important that you first gather evidence as to the performance and continued relevance of the policy/procedure since it was first developed or last reviewed. You should consider the evidence available from both internal and external sources, which should have already been identified in the Monitoring and Review section of the document. [Note: if the policy/procedure is on the old template it will not have a Monitoring and Review section. The criteria on what evidence your review will be based on will need to be developed as part of your review. The policy/procedure will also need to be adapted onto the current template]. You should consider stakeholder and user feedback, any indications from survey results (e.g. staff survey) and relevant corporate and/or local performance monitoring data. Once you have collated the evidence you should assess it to identify what, if any, amendments to the policy/procedure are needed. Version: Next Review: December 2020 Page 14 of 25

15 PART C DEVELOPMENT AND REVIEW ESSENTIAL ELEMENTS NB: This section applies to both development of new policy/procedure and the review of existing policy/procedures. 6. CONSULTATION Consultation is an important element in the creation and review of your policy or procedure. You should consult with those most likely to be interested in or directly affected by the policy/procedure, both internally and externally. If reviewing an existing policy or procedure consultation should include (but not necessarily be restricted to) the stakeholders consulted with when the policy/procedure was created. Examples of people/groups that could be consulted include: Continuous Improvement Team (Force Policy Officer should always be included in the consultation process) Force Disclosure Unit (Freedom of Information and Data Protection) Contact Management Human Resources End Users / stakeholders Staff Associations (e.g. UNISON, the Police Federation, Superintendants Association) Head of Department(s)/Senior Officers Relevant boards and/or committees Police and Crime Commissioners office Partner Agencies (e.g. Local Authority, Health Authority, Fire Brigade, Magistrates etc) Other relevant professional associations (e.g. Government Equalities Office, Equality and Human Right Commission etc), Other forces NB: this is not an exhaustive list. The right stage to consult will depend upon a variety of factors. If consultation takes place too early, the objectives may be too vague for people to be able to effectively comment on. On the other hand if left too late it may be difficult to incorporate valuable input. It is good practice to notify the people/groups most likely to be interested in or directly affected of your intention to develop the proposed policy/procedure. This may help to highlight any possible difficulties or problems you may encounter and allow you to consider any suggestions offered at an early stage. When you have a draft of your document ready you should start the formal consultation process. Remember to make clear the date when a response is required by and to whom it should be sent. Whilst no time has been set for consultation there is an expectation that those being consulted, both internally and externally, will respond within a 4 week time frame. It might be necessary on occasion to have more than one round of consultation and thereby extending the consultation period. However, such extensions must be balanced against the need for continuity of operational effectiveness. When consulting with UNISON or the Police Federation you need to send your draft document marked CONSULTATION to: Unison: unison@wiltshire.pnn.police.uk; Police Federation: Federation@wiltshire.pnn.police.uk Version: Next Review: December 2020 Page 15 of 25

16 It is important that those being consulted do not feel that they are merely being asked to validate what has already been decided; in such instances it is likely an unfavourable response may be received. Ensure feedback of the results from the consultation has taken place in order to retain the trust and confidence of those consulted. [Note: A reasonable time should be allowed for the stakeholders to provide comments and this time limit communicated to the stakeholders. This time limit should give the stakeholder enough time to consider your document and the implications of your document. 28 days is the normal minimum time period. The Author should chase the stakeholder at least twice if no response has been received before the end of the time limit (i.e. once just before the end of the time limit and once just after the time limit has lapsed)]. [Note: Circulation must include the Continuous Improvement Team and a representative of the department, person or organisation directly affected by the policy/procedure]. 7. COMPLIANCE 7.1 Diversity Impact Assessment: The Equality Act 2010 came into effect on 1 October The Act creates an Equality Duty and is intended to simplify the previous anti-discrimination laws by creating the need for one assessment to be carried out. The Equality Act replaces the need for separate assessments to be made under the ECHR, Race Relations (Amendment) Act 2000 and Disability Discrimination Act The object of the act is to make sure that the policy/procedures of public bodies do not disproportionately impact on any of the protected characteristic or if it does that that impact is mitigated as far as possible. The Equality Duty created by the Act has three aims and covers 9 protected characteristics. The three aims are: eliminate unlawful discrimination, advance equality of opportunity, foster good relations. The nine characteristics (diversity strands) are: Age, Disability, Gender Reassignment, Marriage and Civil Partnership, Pregnancy and Maternity, Race, Religion or Belief, Sex, Sexual Orientation All policies and procedures must be accompanied by a Diversity Impact Assessment (DIA) based upon all of the Diversity strands. This is a requirement of the Equality Act Failure to carry out a DIA raises the risk of making poor and unfair decisions which may discriminate against particular groups and worsen inequality. The decision may be open to legal challenge, which is both costly and time-consuming. Version: Next Review: December 2020 Page 16 of 25

17 It is important that when developing Policy or Procedure that Equality, Human Rights and the drivers of Public Confidence are designed in. The Diversity Impact Assessment should be completed before the Policy or Procedure is finalised. When reviewing an existing policy/procedure you must also ensure that the Diversity Impact Assessment is also reviewed. It is advisable to do this at the same time as you review the policy/procedure. Any changes made to the policy/procedure must be reflected in the DIA. If no DIA was completed when the policy/procedure was developed then a new DIA will need to be carried out. 7.2 Freedom of Information The Freedom of Information Act 2000 was introduced to encourage openness and transparency in all public sector organisations. It gives all individuals a right of access to recorded information held by Wiltshire Police, subject to certain conditions and exemptions. Under the Freedom of Information Act we cannot blanket exempt a policy or procedure document. If you consider that any part of your policy or procedure may cause harm or expose our tactical capabilities you must contact and consult with the Force Disclosure Unit who can advise on appropriate redaction and the correct application of the exemptions used. All Force Policies and Procedures will be published on the Force Website, unless there is a specific exemption justifying why parts of the policy or procedure should not be published. All Force Policies should be suitable for publication. Further advice on the Freedom of information Act can be obtained from the Force Disclosure Unit. 7.3 Data Protection Wiltshire Police has a statutory obligation to process personal data in accordance with the provisions of the Data Protection Act 2018 (the Act) and the General Data Protection Regulations (GDPR). There are various principles on which data protection is based. They give guidelines on how the Force should handle information. It is our responsibility as an organisation and as individuals to comply with these principles. If we do not follow these rules then we may be in breach of the Act and could be prosecuted for it. Key Data Protection principles are: Processing of personal data for any of the law enforcement purposes must be lawful and fair and in relation to general processing under GDPR transparent. Personal data is defined by the Act as any information relating to an identified or identifiable living individual. An identifying characteristic could include a name, ID number or location data. You should treat such information as personal data even if it can only be potentially linked to a living individual. In general if the processing is necessary for the performance of a task carried out for law enforcement purposes, a legal obligation, the administration of justice, the Safeguarding of children and of individuals at risk, a contract or the data subject has given consent then the processing will be lawful. The purpose for which personal data is collected on any occasion must be specified, explicit and legitimate, and must not be processed in a manner that is incompatible with the purpose for which it was originally collected. Version: Next Review: December 2020 Page 17 of 25

18 Personal data must be adequate, relevant and not excessive in relation to the purpose(s) for which it is processed. Personal data must be accurate and, where necessary, kept up to date, and every reasonable step must be taken to ensure that personal data that is inaccurate, having regard to the purpose for which it is processed, is erased or rectified without delay. Personal data must be kept for no longer than is necessary for the purpose for which it is processed. Appropriate time limits must be established for the periodic review of the need for the continued storage of personal data for any of the law enforcement purposes. In relation to general processing personal data may be stored for longer periods insofar as that data will be processed solely for archiving purposes in the public interest, scientific or historical research purposes or statistical purposes subject to implementation of the appropriate technical and organisational measures required by the GDPR in order to safeguard the rights and freedoms of individuals. Personal data must be processed in a manner that ensures appropriate security of the personal data, using appropriate technical or organisational measures (and, in this principle, appropriate security includes protection against unauthorised or unlawful processing and against accidental loss, destruction or damage). The Data Protection Act Part 2 contains an additional two principles: principle 7 Security is a protection against unauthorized use, damage as detailed in brakets above; principle 8 provides for the sending of personal data outside the European Economic Area more details on this can be obtained from the Data Protection Officer. All Policies and Procedures, and any information collected as a result of a policy/procedure, must be compliant with the Data Protection Act/GDPR and the Force Data Protection Policy. Further advice on the Data Protection Act can be obtained from the Force Disclosure Unit. 7.4 Government Security Classification (GSC) Don t forget to apply the appropriate Government Security Classification (GSC) to your document. The Government Security Classification Policy provides a classification system ensuring that all parts of government work to a single method of classifying information. The Policy provides guidance to officers & staff on this system and on how/when to mark Force documents/information Under the GSC, there are only three recognised security classifications: OFFICIAL, SECRET and TOP SECRET. Most Force policies and procedures will be classed as OFFICIAL or if of a sensitive nature the descriptor OFFICIAL-SENSITIVE can be applied. Documents only need to be routinely marked (in the header and footer) if they are classed as OFFICIAL-SENSITIVE or if specific handling instructions apply. Advice on the GSC can be obtained from Standards and Protective Security and the Force Policy Officer. Version: Next Review: December 2020 Page 18 of 25

19 APPENDIX A: New Policy / Procedure Development Process. Policy / Procedure requirement Identified. Sponsored at Senior Officer/ Head of Department Level. 1. Author begins to research the content, applicability and identifies consultees. Begins to consider DIA and notifies the Continuous Improvement 2. Author formulates the Policy / Procedure and begins to draft the document. 5. Author finalizes DIA and, if necessary, amends the policy/procedure to remedy any issues raised. If necessary recirculates for further comment. 4. Author makes any amendments and if necessary re-circulates for further comment. 3. Draft policy / Procedure circulated for comment and consultation with stakeholders. 6. Author Identifies and obtains agreement on Policy / Procedure review date. 7. Final draft of the Policy / Procedure and DIA is sent to Continuous Improvement Team for QA and then submitted for approval. 8. If approving body requires amendments to be made the policy/procedure is passed back to the Author to amend. 9. Amended Policy / Procedure passed back to Continuous Improvement Team and approving body (if necessary). 12. Training provided to those implementing the Policy / Procedure. 11. Policy / Procedure owner arranges publication of the Policy through E-Brief and etc. 10. Approved Policy / Procedure document is stored on the Force Policy Site and Policy Log updated. 13. Policy / Procedure & DIA monitored by owner. Policy / Procedure is reviewed on agreed review date (see review process below). Review dates monitored by the Continuous Improvement Team. Version Next Review Date: December 2020 Page 19 of 25

20 APPENDIX B: Policy / Procedure Review Process - Scheduled Review: Policy / Procedure due or identified for review. Continuous Improvement releases copy of policy / procedure to the relevant department. Unscheduled Review: If Policy / Procedure or DIA requires amending / updating before the review date is due (i.e. because of Monitoring Evidence or changes in law) the Author notifies Continuous Improvement Team. Policy / Procedure is reviewed by the owning department along with DIA. One of three outcomes is identified: Author then follows the New Policy / Procedure process from box 3 onwards. A. Policy / Procedure and/or DIA needs amending/updating. B. Policy / Procedure / DIA still applicable, no amendment/ updating required (this decision needs to be confirmed through consultation with stakeholders). C. Policy / Procedure no longer required (this decision needs to be confirmed through consultation with stakeholders). Follow New Policy / Procedure process from box 3 onwards. Approved Policy / Procedure document and DIA is returned to the Continuous Improvement Team for storage on the Force Policy Site and linking to the Firstpoint Policy and Procedure Tab. Policy / Procedure document returned to Continuous Improvement Team archiving. Version Next Review Date: December 2020 Page 20 of 25

21 APPENDIX C: Policy Development Checklist Policies and Procedures must be drafted on the current Force Template. Both the Policy Template and the Procedure Template are available on FirstPoint on the Force Policy site. If you have any queries please contact the Continuous Improvement Team. Sponsorship Has your policy/procedure been sponsored by the Senior Officer/Head of Department? (This is required before a policy/procedure is developed further). Drafting a policy/procedure When you start drafting your policy/procedure you must also begin a Diversity Impact Assessment (DIA). If you have any processes (guidance/instructions not procedure), they would need to be developed as a separate guidance/instruction document. Have you checked that the information in your policy/procedure is structured in a logical and/or chronological order? Inserting sub-headings can make the details easier for users to understand and access. Have you checked that any terms used are consistently applied throughout the policy/procedure? Watch out for jargon and wordy/confusing/negative phrases. Any acronyms should be spelled out in full when first used. Have you checked that the format of your policy/procedure is consistent with the requirements of the policy or procedure template? (i.e. font is 12 Arial, line spacing is single, alignment is left, etc). Have you considered how you will monitor this policy/procedure, what information you will use to measure the effectiveness and how that information will be gathered? For example: Feedback from users of the policy and/or those affected by the policy Staff Survey Results Intranet Survey (conducted by the policy author) Have you checked that you have given the information as required in all sections of the policy/procedure template? Have you applied the relevant GSC marking (if required). Consultation and review Have you sent your draft policy/procedure out for consultation with all appropriate stakeholders? e.g. Contact Management Human Resources Force Disclosure Unit (Freedom of Information and Data Protection) End Users Staff Associations (e.g. UNISON, the Police Federation) Version Next Review Date: December 2020 Page 21 of 25

22 Head of Department(s)/Senior Officers Relevant boards and/or committees Police and Crime Commissioners Office Partner Agencies (e.g. Local Authority, Health Authority, Fire Brigade, Magistrates etc) Other relevant professional associations (e.g. Government Equalities Office, Equality and Human Right Commission etc), Other forces NB: this is not an exhaustive list. Have you responded to those who have provided feedback once the consultation period has closed? If necessary, following any feedback and amendments to the policy/procedure, have you recirculated the policy/procedure for further comment? Have you considered the appropriate length of time before the policy/procedure is due for review? All policy/procedure documents should clearly state the date when it is due to be Reviewed. It is recommended that the Review date is yearly unless a significant change occurs that triggers an earlier review (e.g. new/amended legislation). The review period should be no longer than 3 years following the effective from date. Following consultation - has the final draft received the appropriate level of approval? Approval process For most policies and procedures this will be the relevant ACC/ACO or representative body (e.g. Health and Safety Committee). Politically or strategically sensitive policies or procedures must be approved by the Senior Command Team. Policy/procedure affecting or changing employee terms of employment or working conditions will also have to be approved by the Joint Negotiating and Consultative Committee for Police and Support Staff (JNCC). Finalising the policy/procedure (NB: to be carried out post consultation and approval) Have you prepared a communication to publicise your new policy/procedure to the whole force, relevant stakeholders and affected officers and staff? (This should be done in liaison with the Internal Communications Team). Publication should not be made prior to SCT approval). If required, have you provided training to those who will be implementing the policy/procedure? Version Next Review Date: December 2020 Page 22 of 25

23 APPENDIX D: Policy Review: Substantive Amendments to your policy steps to follow If the result of your review is that substantive amendments need to be made to your policy or procedure a draft revised version should be made. This should be clearly watermarked as a DRAFT document, designated as a new version (i.e. 1.1, 2.1 etc.). 1. The revised draft document should be circulated for comment and consultation with the stakeholders including those consulted with when the policy/procedure was created. The DIA should also be reviewed in line with the policy/procedure. 2. The author makes any amendments flowing from the consultation and if necessary re-circulates for further comment. 3. An appropriate period is agreed (by the Author/Department) on the Policy/Procedures next review date. This should be governed by the review date for the DIA. It is recommended that a one year review period is adopted however; a review period should be no longer than a maximum of 3 years. 4. Author finalises the DIA. 5. The draft Policy/Procedure and DIA (if amended) is sent to the Continuous Improvement Team for QA. The Continuous Improvement Team will advise on the correct level of approval. If, following submission for approval, an amendment is required the draft document is passed back to the Author to make the amendment or provide an explanation as to why it may not be appropriate. If necessary the amended document is re-circulated to the stakeholders for comment. The amended Policy/Procedure is passed back to the Continuous Improvement Team and (if necessary) the approving body (SCT, ACC/ACO etc.). 6. Once approved the Continuous Improvement Team will store the Policy/Procedure document on the Force Policy Site. 7. The Policy/procedure owner, in liaison with the Continuous Improvement Team, arranges notification of the changes made to all staff through E-Brief and to affected officers and staff by , SMT, SLT Briefing etc. 8. The Policy owner should also consider whether any other arrangements need to be made to implement the amendments to the Policy/Procedure such as training for those implementing/ using the policy/procedure and any changes to IT systems. If the Policy/Procedure works effectively then the Policy/Procedure is reviewed on the next agreed review date. The Continuous Improvement Team will monitor the review dates and notify the relevant department/owner prior to the due review date. Version Next Review Date: December 2020 Page 23 of 25