MANAGEMENT & DEVELOPMENT OF PROBATIONARY CONSTABLES (Police Officer) Standard Operating Procedure

MANAGEMENT & DEVELOPMENT OF PROBATIONARY CONSTABLES (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

Compliance Record Equality Impact Assessment (EIA): Date Completed / Reviewed: Information Management Compliant: Health and Safety Compliant: Publication Scheme Compliant: 10/01/14 Yes Yes Yes Version Control Table Version History of Amendments Date 1.00 Initial Approved Version 13/01/2014 2.00 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 2.00 2

Contents 1. Purpose 2. Application 3. Introduction 4. Modular Training 4.1 Module 1 - SPC 4.2 Module 2 - Local Training 4.3 Module 3 - Operational Phase 4.4 Module 4 - Local Training 4.5 Module 5 Operational/Confirmation Phase 5. Regulation 8 Process Extension to Probationary Period 5.1 Considerations Prior to Requesting an Extension 6. Regulation 9 Process Discharge from the Service 7. Confirmation 8. Management of s 8.1 Tutor Constables 8.2 Academic Examinations 8.3 Fitness 8.4 Conduct/Integrity 8.5 Performance Management 8.6 Long Term Illness or Injury 8.7 Allowances and Expenses 8.8 Part Time / Flexible Working 9. Roles and Responsibilities 9.1 Probationary Constables 9.2 Tutor Constables 9.3 Sergeants 9.4 Inspectors 9.5 Chief Inspector 9.6 Chief Superintendents 9.7 Assistant Chief Constable Version 2.00 3

9.8 Chief Constable 9.9 Human Resources Appendices Appendix A Appendix B Appendix C Appendix D Appendix E List of Associated Legislation List of Associated Reference Documents List of Associated Forms Glossary of Terms Process Map Version 2.00 4

1. Purpose (c) This Standard Operating Procedure (SOP) supports the Scottish Police Authority (SPA)/Police Service of Scotland (Police Scotland) Training, Leadership and Development Policy. Police Scotland is committed to a fair, equal and open assessment and appraisal of each officer s performance. The purpose of this Management and Development of Probationary Constable SOP is to outline the integrated programme of probationer constable training, development and management. This SOP will operate in line with the Equality, Diversity and Dignity SOP. For example, reasonable adjustments will be considered, where appropriate, to support the specific needs of disabled staff to ensure full engagement with all aspects of the SOP. 2. Application This SOP applies to all probationary constables from the date they commence with Police Scotland until the date they are confirmed in the rank of constable. This could include any date beyond their original intended date of confirmation. Transferees from other relevant forces may not normally be classed as probationer constables, as they may have completed the required period of probation in their former force. This is dependant on the previous force and clarification is contained within the police regulations regarding the relevant forces this applies to. Further guidance on this can be found within the Recruitment and Selection (Police Officer and Special Constables) SOP. 3. Introduction (c) A key objective for Police Scotland is developing our people and becoming an employer of choice. Therefore Police Scotland is committed to providing an integrated programme of probationer constable training, development and management. Training and development will comprise of operational, national and local training relevant to the various operational and geographical environments of the service. Probationary constables will be measured against operational effectiveness, academic ability, fitness and integrity. If shortcomings (other than integrity) are identified in any of these areas, action plans may be instigated to support the development and improvement of the officer. Further information is explained within Section 8 of this document. A probationary constable will normally be on probation for the first two years of their service; however, depending on the circumstances of a particular case, the Chief Constable can alter the length of a constable s probationary period under Regulation 8 of the Police Service of Scotland Regulations 2013 Version 2.00 5

(d) (e) Any reference to misconduct or criminality in this SOP refers to the Police Service of Scotland (Conduct) Regulations 2013. Reasonable adjustments will be made for probationary constables with a disability throughout this process as required. Further information is available in the Disability in Employment SOP. 4. Modular Training (c) (d) From the date of appointment until their start date in a division within a Local Policing Area (LPA), the management responsibility for probationary constables will rest with the Scottish Police College (SPC). People and Development (P&D) will be responsible for the posting of probationers to a division following their successful recruitment and relevant training. Further information is available in the Postings and Transfer (Police Officer) SOP. Once allocated to a division, probationary constables will be based at a police station, where they will undertake uniformed operational duties within community or response policing teams. A probationary constable s training programme will consist of the following; Module 1 - SPC Module 2 - Local Training; Module 3 - Operational Phase; Module 4 - Local Training; and Module 5 - Operational/Confirmation Phase. 4.1 Module 1 - SPC The aim of module one is to develop the knowledge, understanding, skills, attitude and behaviours of probationary constables, to enable them to undertake the role of a constable with supervision and guidance from a tutor constable. The initial 12 weeks will be modular based consisting of the following subjects: Induction and Oath of Office; Policing skills; Policing in the community; Evidence; Crime; Investigative Interview Training Techniques (IITT); Version 2.00 6

General Police Duties (GPD); Roads policing; Skills Development Exercises (SDE s); Physical fitness; and Drill. (c) (d) (e) (f) On successful completion of all aspects of their initial training, on the last week probationary constables will pass out from the SPC, at a formal parade. The initial 12 week training course is normally a residential training course; however, the SPC Residential Policy provides that in the event of probationary constables residing within a reasonable travelling distance of the SPC they may opt to return home each night. Module one is an extensive and intense 12 week training course, combining practical, theoretical and physical training. Probationary constables should be prepared to undertake studying and maintain their physical fitness within their own time. Probationary constables will be subject to formal physical (1 st and 2 nd fitness tests) and academic assessments during module 1. 4.2 Module 2 - Local Training The aim of module two is to prepare the probationary constables for operational deployment within divisions. This module will be delivered locally at one of the identified training centres across Scotland. This training will consist of divisional specific I.T. training and any other subjects which are relevant to that LPA and division. The duration of this module will be dependent on the content of the course. 4.3 Module 3 - Operational Phase (c) (d) The aim of module three is to develop the theoretical knowledge gained in module one and apply it in operational situations. This module will consist of operational duties within community or response policing teams at the division the probationary constable is appointed to. During this phase the probationary constable must compile sufficient satisfactory evidence to ensure their evidence portfolio attains the required standard. This must be monitored by their tutor constable and Sergeant. Probationary constables will be required to complete Open Distance Learning (ODL) packages in preparation for a formal examination at module four. Version 2.00 7

(e) Any other informal local awareness will be delivered by the tutor constable such as visits to: Force Control Centres; CCTV areas; Technical Support Units; Courts; and Mortuary etc. 4.4 Module 4 - Local Training (c) (d) (e) (f) Module four will consist of three individual training days delivered locally at one of the identified training centres across Scotland. The aim of module four is to consolidate and refine the experiential learning the probationary constable has developed during the operational phase and provide them with additional skills, knowledge and awareness of specialist services to allow them to competently perform the duties of a constable. Probationary Constables are responsible for maintaining and gathering information for their Evidence Based Portfolio (EBP) ensuring it is suitably endorsed by their tutor constable. This portfolio will be utilised in all appraisal meetings and will form the basis for the first part of module 4 of the Training Programme. The first training day will occur at approximately week 40, this will consist of: a review of the probationer s EBP using the Operational Modular Assessed Debrief mechanism (OMAD); 3 rd fitness test; and inputs from specialist areas and other local training needs. The second training day will occur at approximately week 66, this will consist of: a formal ODL examination based on the ODL packages issued during module 3; 4 th fitness test; and inputs from specialist areas and other local training needs. The third training day will occur at approximately week 92, this will consist of: a confirmation examination based on all theoretical knowledge from the initial training at module one and the ODL packages; 5 th fitness test; and inputs from specialist areas and other local training needs. Version 2.00 8

(g) Throughout module four, should any probationary constable fail a fitness test or formal academic examination, the re-sits will be managed locally at one of the identified training centres by training staff. 4.5 Module 5 Operational / Confirmation Phase Continuous development on operational deployments prior to confirmation in the rank of constable (see section 8.5). 5. Regulation 8 Process Extension to Probationary Period (c) (d) (e) Regulation 8 of the Police Service of Scotland Regulations 2013 determines that probationary constables, except in particular cases, will be on probation for the first two years of their service as a constable. The exceptions can include probationary constables working reduced hours such as part-time or job share or officers with previous service in another police force. These officers will have their probationary period determined by the Chief Constable based on their individual circumstances. Notwithstanding the foregoing, the probationary period may be extended for a number of reasons including; pregnancy (section 5.1); extended periods of leave such as adoption leave, maternity leave, or additional paternity leave (section 5.1); examination failure (section 8.2.1); fitness failure (section 8.3.1); misconduct or criminal allegations (section 8.4.1). unsatisfactory / unacceptable operational performance (section 8.5.1); and prolonged periods of illness or injury (section 8.6). A Chief Superintendent can extend the probationary period of any officer for up to an additional six months. If the constable requires an extension of more than six months, the decision to extend will defer to an Assistant Chief Constable (ACC) for ratification except where the extension relates to pregnancy. All extensions to a probationary period relating to pregnancy or adoption, maternity and additional paternity leave will be authorised by a Chief Superintendent. Should any of the aforementioned circumstances arise, the process maps to be followed in each situation are detailed in Appendix E. The associated forms to be used for each situation are detailed in Appendix C. If further clarity is required, the SPoC for the respective division should be contacted in the first instance. Version 2.00 9

5.1 Considerations Prior to Requesting an Extension (c) (d) (e) (f) Before requesting an extension to a constable s probationary period the following should be taken into consideration: the length of probation the officer has completed and has still to complete; the number of completed fitness tests; the mandatory training modules successfully completed; and the number of operational hours completed. Once the foregoing has been taken into account, the probationary constable must receive a written notification in terms of Regulation 8, informing them that their probation is being extended and detailing the reason why it is extended. When an officer declares they are pregnant or intend to take an extended period of leave such as adoption leave or additional paternity leave, prior to considering extending the probationary period and by what length, in addition to the aforementioned, the following additional points must also be taken into consideration: the expected date of the child s birth/date of adoption placement; leave start date; and the date the probationary constable is expecting to return to work. Once the foregoing has been taken into account, the probationary constable must receive a notification in terms of Regulation 8, informing them that their probation is being extended to allow them to complete the outstanding areas of their probationary period. Should a probationary constable have their probationary period extended beyond two years, they should contact the Scottish Police Federation (SPF) for guidance on their pension contributions. If a probationary constable is pregnant and is unable to participate in the full range of tests required by the confirmation process this will not necessarily preclude the officer from being confirmed in the rank of constable. Each instance will be considered on a case by case basis, taking all aspects of the probationary constable s performance into consideration. 6. Regulation 9 Process Discharge from the Service Regulation 9 of the Police Service of Scotland Regulations 2013 allows the Chief Constable to discharge a probationary constable from the service if the Chief Constable considers that the probationary constable is not fit, physically or mentally, to perform the duties of the office of a constable or, that that constable is not likely to become an efficient or well conducted officer. Version 2.00 10

(c) (d) (e) (f) (g) (h) Probationary constables could be considered for discharge from the service for a number of reasons including: failing more than one fitness test; failing a formal academic examination (including re-sits); failing to achieve the objectives of action plans to improve operational performance; dependent on the findings from any misconduct or criminal proceedings; or being diagnosed with an illness or injury (not covered under the Equality Act 2010), which would consider them to be, not fitted, physically or mentally to perform the duties of the office of constable. Should any of the aforementioned circumstances arise, the process maps to be followed in each situation are detailed in Appendix E. The associated forms to be used for each situation are detailed in Appendix C. If further clarity is required, the SPoC for the respective division should be contacted in the first instance. Before being considered for discharge from the service, a probationary constable must be given the opportunity to attend or be represented at a hearing, chaired by a Chief Superintendent. Prior to holding a hearing to consider discharging a probationary constable from the service, the Chief Inspector must serve the probationary constable notification detailing the date and location of the hearing and a summary of the evidence which will be presented at the hearing, which forms the grounds for considering their discharge. The probationary constable will be invited to attend the hearing with a representative from the Scottish Police Federation (SPF) or any other officer who they wish to accompany them. Alternatively, the probationary constable may decline to attend the hearing and be represented by another officer or representative from the SPF, or they may decline to engage with the hearing completely. If the latter were to occur, the Chief Superintendent will still hold the hearing in the absence of the constable. Written representation by, or on behalf of the probationary constable may be submitted in advance of any hearing. Other personnel required to attend the hearing are the Human Resource Representative for the relevant LPA and the SPoC. It will be at the discretion of the Chief Superintendent if they wish to invite other personnel to attend. At the conclusion of the hearing the Chief Superintendent will inform the probationary constable of their recommendation which will be forwarded to the Chief Constable for consideration. The probationary constable must be informed of the Chief Constable s final decision as soon as it is known. Version 2.00 11

(i) (j) (k) Should the Chief Superintendent recommend the probationary constable is discharged from the service; the Chief Superintendent must inform the probationary constable of the option to resign prior to being discharged. Until the final decision is made by the Chief Constable, consideration must be given to restricting the probationary constable s operational deployment and access to the I.T systems. If further clarity is required, the probationer SPoC for the respective division should be contacted in the first instance. If the Chief Constable makes the decision to discharge a probationary constable, prior to the probationary constable leaving the service, all uniform and equipment must be recovered from them. 7. Confirmation Following successful completion of all of the modular training and satisfactory appraisals through the period of their probation, probationary constables will, at the end of their probationary period, be confirmed in the rank of constable by a Chief Superintendent. This will include all probationary officers, including those who may have had their period of probation extended by either a Chief Superintendent or Assistant Chief Constable. 8. Management of s 8.1 Tutor Constables (c) It is the responsibility of Chief Inspectors and Divisional Inspectors to ensure that there is a sufficiency of suitably trained tutor constables. The tutor constable must have successfully completed the National Tutor Constable Course (or equivalent). On arrival at their divisions, probationary constables will be allocated a suitably trained tutor constable to assist with their development. The tutor constable will provide operational guidance and direction to the probationary constable to assist them in their development throughout their probationary period. The tutor constable will be responsible for endorsing the probationer s evidential validation reports prior to attending the initial assessment day at module four. In addition, the tutor constable should promptly highlight any areas of unacceptable or unsatisfactory operational performance to their Sergeant to ensure that these areas can be properly addressed. 8.2 Academic Examinations Probationary constables are required to undertake formal academic examinations throughout the course of their probationary period. Including the first attempt (initial sitting) they will be afforded up to two other attempts to pass Version 2.00 12

the examination (first re-sit, second re-sit). If the probationary constable does not achieve the required pass mark after the two re-sits, they will be subject to the provisions of Regulation 9 and will be considered for discharge from the service. Additional support in relation to studying, examination techniques etc, is available from the SPC. 8.2.1 Examination Failure Should a probationary constable fail to achieve the required pass mark in any of their academic examinations, they must be served with a notification under Regulation 9 (see section 6). If they subsequently fail to achieve the required pass mark during the two re-sit opportunities, they will then be subject to a hearing in terms of Regulation 9 to decide if they will be re-enrolled or discharged from the service. 8.3 Fitness (c) During the course of their probationary period, officers will be required to undertake and pass five mandatory fitness tests. Should an officer fail any one of the fitness tests, they will be afforded one re-sit. In essence probationary constables will be permitted to undertake a maximum of six fitness tests throughout their probationary period, and it is recommended that their fitness test is re-scheduled to a date no earlier than six weeks from the date of failure. In the event of an officer failing a second fitness test, they will be subject to the provisions of regulation 9 and will be considered for discharge from the service. Prior to undertaking any mandatory fitness test, the officer will be required to sign a Fitness Screening declaration form (140 004) confirming they are fit or are not fit to undertake the test. If they declare they are unfit to participate in the fitness test, the officer/ staff member in charge of the fitness test will attempt to ascertain the reason(s) why the officer is unable to undertake the test and take the appropriate actions either to re-schedule the test or refer the officer to the Occupational Health Unit (OHU). 8.3.1 Fitness Failure If an officer fails to achieve the required standard in a mandatory fitness test, they must be served a notification under Regulation 9, offered support and additional information to improve their fitness, and have their fitness test rescheduled to a date no earlier than six weeks later. Fully qualified Physical Training Instructors (PTI s) at the SPC are available to provide any advice or support to probationary constables and should be contacted in the first instance. 8.4 Conduct / Integrity Probationary constables are expected to conduct themselves in an appropriate manner and not take part in any activity which may compromise either Version 2.00 13

themselves or the service. Any act which may constitute misconduct is defined within the Police Service of Scotland (Conduct) Regulations 2013. 8.4.1 Misconduct or Criminal Allegations (c) The ability to dispense with the services of a probationary constable during their period of probation will not be used as an alternative means of discharging an officer who should be dealt with in accordance with the provisions of the Police Service of Scotland (Conduct) Regulations 2013. Where misconduct proceedings are appropriate and justified, they should be brought against the probationary constable. In such circumstances, consultation must take place with the Professional Standards Department (PSD) and Counter Corruption Unit (CCU). In the event that a probationary constable is the subject of misconduct or criminal proceedings, they must be served with a notification in terms of Regulation 9 informing them that irrespective of the outcome of their misconduct or criminal proceedings, the option is still available to consider discharging them from the service in terms of the provisions of Regulation 9. In addition, dependent on the time the probationary constable has served in their probationary period, consideration must be given to extending their probation to allow for misconduct / criminal proceedings to be completed. 8.5 Performance Management In the case of a single instance of unsatisfactory / unacceptable operational performance which has been identified by either the tutor constable or supervisor, the incident should be recorded on the PDR / appraisal system to detail the specific issue and the action taken to resolve the matter. If there is a continued pattern of unsatisfactory / unacceptable operational performance then a Probationary Constable Action Plan Form (106-006) should be instigated. This plan will be raised by the probationary constable s Sergeant, and approved by the Inspector and Chief Inspector. The SPoC will be included in the development of the action plan, retain a copy of it for future reference and provide a quality assurance role to ensure the objectives are appropriate to the officer s needs. 8.5.1 Unsatisfactory / Unacceptable Performance As soon as there is evidence that a probationary constable is not performing to the standards expected, a formal action plan should be raised by their Sergeant with the ultimate aim to improve the performance of the probationer. The objectives for the action plan should be set in line with the SMARTER acronym and agreed between the probationary constable, Sergeant and Inspector. On the commencement of the action plan, the SPoC must be informed and will arrange for the service of a notification in terms of Regulation 9 on the probationary constable. Version 2.00 14

The action plan is recommended to continue for a period of not less than 12 weeks, after which the objectives will be assessed to confirm if they have been achieved. If the objectives have been achieved and a satisfactorily level of performance maintained, no further action will be taken at this stage. If the objectives have not been achieved (partially or wholly) then a second (and final) action plan should be instigated on the same basis as the initial action plan. (c) (d) (e) During the period of an action plan the probationary constable s progress will be formally monitored on a monthly basis by the Sergeant, using Part 2 of the Probationary Constable Action Plan Form (106-006), and evidenced to authenticate improvement or otherwise. All evidence gathered during this monitoring phase(s) should be added to the probationary constable s PDR / appraisal record. If, on conclusion of the second action plan, the objectives have been achieved and a satisfactory level of performance maintained, no further action will be taken at this stage. If there is no improvement then proceedings to consider the probationary constable be discharged from the service must be instigated as per Regulation 9. 8.5.2 Appraisal / Performance & Development Review (PDR) Probationary constables will be given four formal appraisals throughout their probationary period. Until a national standard process is adopted, the frequency and content of the appraisals will be determined by the legacy force area to which the officer is appointed to. 8.6 Long Term Illness or Injury (c) If a probationary constable is suffering from a long term illness, injury or mental health problem, they must be referred to the Occupational Health Unit (OHU), and a medical report will be sought from the Force Medical Examiner (FME) / Occupational Health Consultant. Depending on the recommendations of this report, consideration may have to be taken to extending the probationary period of the officer or discharging them from the service. Any decision to discharge a probationary constable under Regulation 9 due to a medical condition must be taken in accordance with and after due consideration of the provisions of the Police Pension Regulations 1987. Version 2.00 15

(d) Probationary Constables can be referred to the OHU by their line manager, or by any officer who has responsibility for the probationer at that time (i.e. Sergeant or Inspector etc.at a training venue). 8.7 Allowances and Expenses (c) (d) (e) (f) For their first week at the SPC, probationary constables will be required to make their own travel arrangements. In cases where the probationary officer stays a considerable distance away and it would be unreasonable to have them travelling to the SPC on the morning of the first day, accommodation can be provided at the SPC the night before. This should be arranged by the probationer via the Conference and Accommodation Team (CAT) at the SPC. During the remainder of their initial training, probationary constables will be offered the use of hired vehicles to assist with travelling to and from the SPC, subject to having successfully completed a basic driving assessment at the SPC during week one of the initial training course. The hired vehicles are not provided to each individual officer, probationary constables, as far practicable, will be required to travel together. If a probationary constable resides such a distance from the SPC that they are required to travel to the SPC on the Sunday, as it would be considered unreasonable to travel on the Monday morning before commencing duty, then the hired vehicles will be made available on the Sunday and the probationary constable shall be compensated for this additional day s travelling in accordance with the regulations. Such compensation will be determined by the Head of Training after taking all factors and circumstances into account (i.e. distance to be travelled, road support network etc) and will be managed by local Resource Management Departments once the probationary constable has completed their training at the SPC. Use of hired cars will be arranged via staff at the SPC. Whilst posted at the SPC for their initial training, all probationary constables are entitled to public holiday arrangements as aligned to the SPC. They will not be entitled to receive compensation for any days which are public holidays at the LPA they are subsequently posted to upon completion of their initial training. 8.8 Part Time / Flexible Working Probationary constables, as with all other officers, are entitled to apply for flexible working patterns, which may involve for example; reduced hours, compressed hours, job share or term time working. Applications by officers wishing to undertake flexible working involves a formal agreement between the officer and the service to work a specific number of hours on a regular and planned basis. Version 2.00 16

(c) Probationary Constables wishing to apply for flexible working should refer to the Flexible Working SOP. 9. Roles and Responsibilities 9.1 Probationary Constables Probationary constables are responsible for: satisfactorily completing all mandatory components of their probationary period before they can be confirmed in the rank of constable. maintaining and gathering information for their Evidence Based Portfolio (EBP); and ensuring the EBP is suitably endorsed by their tutor constable. 9.2 Tutor Constables Tutor Constables will be responsible for: providing operational guidance and direction to the probationary constable to assist them in their development throughout their probationary period; endorsing the probationer s evidential validation reports prior to attending the initial assessment day at module four; and promptly highlighting any areas of unacceptable or unsatisfactory operational performance to their Sergeant to ensure that these areas can be properly addressed. 9.3 Sergeants (c) Sergeants have a vital role in the development and management of probationary constables and tutor constables. Sergeants are responsible for: the operational appraisal of probationary constables; reviewing and endorsing the probationary constable s Evidential Validation Reports (EVR s) and consulting with the tutor constable for appropriate feedback on the progress of the probationary constable prior to completing a probationary constable s appraisal; and addressing any operational performance issues with a formal action plan (Form 106-006) and regularly monitor this action plan with the appropriate evidence recorded on the PDR / appraisal system. If required, Sergeants and other supervisory officers should contact P&D for advice on any issues which they are unsure of. (I.e. Attendance etc.). Version 2.00 17

9.4 Inspectors Inspectors are pivotal in the management and development of probationary constables under their command. Inspectors are responsible for: invoking and maintaining the standards expected of probationary constables and will be responsible for serving notifications or forms in terms of Regulation 8 or 9; and authorising any action plans for underperforming probationary constables. 9.5 Chief Inspectors Chief Inspectors are responsible for: ensuring that there is a sufficiency of suitably trained tutor constables; maintaining the performance of all officers within their area; authorising action plans, serving of Regulation 8 and 9 notifications for misconduct or criminality; and serving notices of intended discharge from the service. 9.6 Chief Superintendents Chief Superintendents are responsible for: endorsing all pregnancy related extensions and any other extensions up to a period of six months; chairing any Regulation 9 hearings to consider whether a probationary constable should be discharged from the service; making a recommendation to discharge an officer or make an alternative recommendation at the conclusion of the hearing for the Chief Constable to consider. confirming all probationary constables within their LPA on successful completion of their probationary period. 9.7 Assistant Chief Constable Assistant Chief Constables are responsible for: ratifying extensions (other than pregnancy related) of more than six months to probationary periods. 9.8 Chief Constable The Chief Constable is responsible for: Version 2.00 18

making the final decision as to whether or not a probationary constable will be discharged from the service. 9.9 People and Development People and Development are responsible for: assisting the Chief Superintendent at any Regulation 9 hearings to consider whether a probationary constable should be discharged from the service. 9.10 SPOC The SPoC is responsible for: the collation and management of Probationary constables records throughout their probationary period; coordinating information between relevant departments and key stakeholders (i.e. SPF), maintaining regular contact with all stakeholders who have an interest in the status of individual probationary constables; providing guidance and assistance to operational supervisors when compiling action plans the collation of all documentation and additional administrative processes relating to Regulation 8 and 9 notices and hearings. monitoring the confirmation dates of all probationary constables ensuring they are confirmed in rank by the Chief Superintendent. ensuring all relevant information and evidence is accurately recorded and properly evidenced. ensuring that all such records are GPMS marked and managed appropriately, and that the records are retained in line with the provisions set out in the Police Scotland Record Retention SOP. Version 2.00 19

LIST OF ASSOCIATED LEGISLATION AND GUIDANCE APPENDIX A Relevant legislation relating to this policy may be found at www.legislation.gov.uk including but not limited to: Employment Act 2002 Equality Act 2010 Police Pension Regulations 1987 Police Service of Scotland (Conduct) Regulations 2013 Police Service of Scotland (Performance) Regulations 2013 Work and Families Act 2006 Version 2.00 20

LIST OF ASSOCIATED REFERENCE DOCUMENTS APPENDIX B Relevant SPA/ Police Scotland policies are available on the intranet including: Training, Leadership and Development Policy Equality, Diversity and Dignity Policy Resourcing Policy Relevant Police Scotland SOPs are available on the intranet including: Adoption, Maternity and Paternity SOP Allowances and Expenses (Police Officer) SOP Attendance Management SOP Disability in Employment SOP Equality, Diversity and Dignity SOP Flexible Working SOP Misconduct PSoS SOP Occupational Health and Wellbeing SOP Postings and Transfer (Police Officer) SOP Recruitment and Selection (Police Officer and Special Constables) SOP Record Retention PSoS SOP Substance Misuse PSoS SOP Version 2.00 21

LIST OF ASSOCIATED FORMS APPENDIX C Relevant SPA/ Police Scotland forms are available on the intranet including: Fitness Screening Declaration Form (140-004) Probationary Constable Regulation 9 Form (106-001A) Probationary Constable Regulation 9 Criminality Conduct Form (106-001B) Probationary Constable Summary of Evidence Form (106-002) Probationary Constable Notice of Consideration to Discharge Form (106-003) Probationary Constable Regulation 9 Letter of Discharge Form (106-004A) Probationary Constable Regulation 9 Alternative to Discharge Letter Form (106-004B) Probationary Constable Regulation 8 Extension Request Pregnancy/Adoption/Maternity and Paternity Form (106-005A) Probationary Constable Regulation 8 Extension Request - Criminality Form (106-005B) Probationary Constable Regulation 8 Extension Request - Fitness/Examination/Performance Form (106-005C) Probationary Constable Action Plan Form (106-006) Version 2.00 22

GLOSSARY OF TERMS APPENDIX D ACC CAT CCU EBP EVR FME GPD IITT LPA ODL OHU OMAD PDR PSD SED S SMARTER SPC SPoC SPF Assistant Chief Constable Conference And Accommodation Team Counter Corruption Unit Evidence Based Portfolio Evidential Validation Report Force Medical Examiner General Policing Duties Investigative Interview Training Techniques Local Policing Area Open Distance Learning Occupational Health Operational Modular Assessed Debrief Performance & Development Review Professional Standards Department Skills Development Exercises Specific, Measurable, Achievable, Relevant, Time-bound, Evaluate, Reevaluate Scottish Police College Single Point Of Contact Scottish Police Federation APPENDIX E Version 2.00 23

PROCESS MAPS Regulation 8 Extension - Notification 2 nd Chief Line Manager Chief Inspector SPOC Stakeholders Notes Superintendent Matter arises or there is an issue with & confirmation date is within 2 months (or otherwise appropriate**) notified of extension (Form 106-005 A/B/C), signs briefing paper Inspector or Chief Inspector made aware of briefing paper and provides verbal notification to of Reg 8 extension period (& Reg 9 if appropriate) UP TO 6 MONTHS & ALL PREGNANCY EXTENSIONS Briefing Paper endorsed by Chief Superintendent SPOC made aware (information provided by relevant sources) Prepares Reg 8 extension document (Form 106-005 A/ B/C) & includes Reg 9 notification if applicable (Form 106-001 A/B) proposes length of extension and submits Establish link to PSD if applicable & obtain regular updates OVER 6 MONTHS EXTENSION (Not pregnancy) Briefing paper endorsed by by ACC Police Regulations and Management of s SOP ** Otherwise appropriate refers to, as examples: pregnancy, long term illness, date of criminal case is post confirmation date. PDR should be updated with evidence as appropriate The Line Manager level responsible for notifying the of extension period should be decided depending on the circumstances eg a Reg 8 extension for Pregnancy would be notified by an Inspector however a Reg 8 that is issued as a result of misconduct may be notified by the Chief Inspector Regulation 8 Extension Notification Ensure form is signed and dated by. Return to SPOC Briefing paper and 106-005 A/B/C returned to SPOC PDR should be updated/reset and SCoPE record updated by the SPOC Monitor and continue to extend as appropriate follow process again. Version 2.00 24

Regulation 8 Extension Adoption, Maternity, Paternity & Additional Paternity Line Manager (1 st or 2 nd level) Chief Inspector Chief Superintendent SPOC Stakeholders Notes Notification of Pregnancy/ Intention to Adopt/Intention to take Additional Paternity Leave Notification of extension prior to commencing Mat/ Adoption/ Additional Paternity Leave (Form 106-005A) Individual put on restricted duties (where appicable) Prepares Briefing Paper (BP) Informs of extension (Form 106-005A) Endorses Briefing Paper (BP) Endorses Briefing Papers & extension period (Form 106-005A) Prepares BP with recommendation of extension period (Reg 8 extension request, Form 106-005A) HR notified and provide information re relevant SOP/ process to probationer Police Regulations and Adoption,Maternity & Paternity SOP The length of extension depends on how long the probationer has been in the service it should cover the time on restricted duties and minimum maternity/adoption/ additional Paternity leave period commences Mat/ Adoption/ AdditionalPaternity Leave Adheres to Policy & Regs re return to work Notification received of return to work Line Manager, Chief Inspector and HR made aware Returns to work and continues toward confirmation Monitor progress and ascertain if all mandatory requirements are fulfilled Regulation 8 Extension - Pregnancy Proceed to Confirmation Yes Mandatory requirements Fulfilled Follow Reg 8 extension process. Continue to monitor progress No As confirmation date approaches (within two months of date), take into account time on restricted duties; time on Mat/ Adoption/Additional Paternity leave and training requirements still to be undertaken & if flexible working pattern undertaken on return. Establish appropriate extension period Version 2.00 25

Regulation 8 Extension/Regulation 9 Notification - Criminality Version 2.00 26

Line Manager 2 nd level Chief Inspector Chief Superintendent SPOC Stakeholders Notes Complaint against the Police SOP Matter arises/ Criminal Investigation Made aware (If appropriate) PSD decide whether this is worthy of notice to Prob SPOC The notification indicates that no matter the outcome of criminal and / or misconduct, consideration will be given to the Reg 9 process. Regulation 9 notification issued to (Form 106-001B) Inspector serves notice (Form 106-001B) Regulation 9 notification & criminal/ misconduct letter endorsed by Chief Superintendent (Form 106-001B) Prepare notification Re procedure & Reg 9 (Form 106-001B) Regulation 8 Extension/Regulation 9 Notification - Criminality signs off and returns to SPOC (Form 106-001B) Ensures probationer signs & dates return Regulation 9 notification to SPOC (Form 106-001B) Decision taken to extend as per Regulation 8 PSD link with SPOC PSD Monitor case If within 2 months of confirmation follow Regulation 8 extension process Once case concluded, may move to Misconduct or to Reg 9 discharge process. Considered on case by case circs. Regulation 8 Extension, Regulation 9 Notification-Misconduct Version 2.00 27

Line Manager 2 nd level Chief Inspector Chief Superintendent SPOC Stakeholders Notes Misconduct matter arises/ Criminal investigation is concluded Reg 9 notification issued to to be signed and returned. (Form 106-001B) Made aware - if appropriate Minimum rank of Inspector serves Reg 9 notification (Form 106-001B) Reg 9 notification endorsed (Form 106-001B) PSD link established if criminal case concluded & now into misconduct confirm notification re process previously sent If misconduct only (no criminality) prepare notification re process (Form 106-001B) PSD link established - Misconduct SOP & Complaint Against the Police SOP The notification indicates that no matter the outcome of criminal and / or misconduct, consideration will also be given to the Reg 9 process. Ensures signs & dates return Reg 9 notification to SPOC (Form 106-001B) Reg 9 notification returned to SPOC for filing (Form 106-001B) Regulation 8 Extension, Regulation 9 Notification - Misconduct NO Consider for Reg 9 discharge process (depends on circs & considered on case by case basis) Is confirmation within 2 months PSD link in to SPOC to provide outcome update Chief Superintendent Follow Reg 9 discharge process if applicable YES Link to PSD PSD Monitor enquiry Follow Reg 8 extension process If case is within 2 months of confirmation follow Reg 8 extension process If case is not within 2 months of confirmation await enquiry conclusion Regulation 8 Extension/Regulation 9 Notification - Injury Version 2.00 28

Line Manager (1 st or 2 nd level) Chief Inspector Chief Superintendent SPOC Stakeholders Notes Injury which may impact on ability to be confirmed / undertake mandatory requirements of probation Managed and supported via line managers, HR & OHU. Monitored by 1 st line manager. Made aware of any extension in order to complete compulsory requirements / provide confirmation of medical prognosis Able to undertake & pass all compulsory requirements & adheres to Regs re suitability to be confirmed?? Made aware & prepare briefing paper for HR & copy for SPOC if required Continue to monitor & within 2 months of confirmation date, follow Reg 8 extension process if compulsory components not completed or dependent on prognosis HR notified of injury and provide information and support via OHU & Attendance Management SOP SPOC maintains link between HR, OHU & Div Management Attendance Management SOP Occupational Health may need to undertake a full assessment and provide advice and support in the form of reasonable adjustments (DDA) and arrange for prognosis if required. As confirmation date approaches (within two months of date), take into account period on restricted duties; sick leave; training/ mandatory requirements still to be completed & any flexible working pattern undertaken - establish appropriate extension period. Regulation 8 Extension/Regulation 9 Notification - Injury YES Confirmation NO Made aware & prepare briefing paper for HR & copy for SPOC Endorses briefing paper YES Monitor progress. Are all mandatory requirements fulfilled and probationer suitable for confirmation? NO Consider whether Reg 8 extension or Reg 9 process is applicable Link made to HR who notify the SPOC As stated above - Occupational Health are key to this assessment of the officer s suitability. They must undertake a full assessment and provide advice and support in the form of reasonable adjustments (DDA) and arrange for prognosis if required. Version 2.00 29

Regulation 8 Extension/Regulation 9 Notification Illness Version 2.00 30

Line Manager (1 st or 2 nd level) Chief Inspector Chief Superintendent SPOC Stakeholders Notes Notification of illness which may impact on ability to be confirmed / undertake mandatory requirements of probation Managed and supported via line managers, HR & OHU Made aware of any extension in order to complete compulsory requirements / provide confirmation of medical prognosis Able to undertake & pass all compulsory requirements & adheres to Regs re suitability to be confirmed?? Made aware & prepare Briefing Paper for HR & Copy for SPOC if required Continue to monitor & within 2 months of confirmation date, follow Reg 8 extension process if compulsory components not completed or dependent on prognosis HR notified of Illness and provide information and support via OHU & Attendance Management SOP Maintain link between HR, OHU & SPOC Attendance Management SOP Occupational Health may need to undertake a full assessment and provide advice and support in the form of reasonable adjustments (DDA) and arrange for prognosis if required. As confirmation date approaches (within two months of date), take into account period on restricted duties; sick leave; training/mandatory requirements still to be completed & any flexible working pattern undertaken - establish appropriate extension period. Regulation 8 Extension/Regulation 9 Notification - Illness YES Confirmation NO Made aware & prepare Briefing Paper for HR & Copy for SPOC Endorses Briefing Paper YES Monitor progress. Are all mandatory requirements fulfilled and probationer suitable for confirmation? NO Consider whether Reg 8 extension or Reg 9 process is appropriate Link made to HR who notify the SPOC As stated above - Occupational Health are key to this assessment of the officer s suitability. They must undertake a full assessment and provide advice and support in the form of reasonable adjustments (DDA) and arrange for prognosis if required. Regulation 9 Notification Version 2.00 31

1 st / 2 nd Chief Line Manager Chief Inspector SPOC Stakeholders Notes Superintendent Matter arises which justifies Reg 9 notification Criminal Misconduct Performance Injury Illness SPOC made aware via submission from Line Manager & Chief Inspector / PSD / (OHU) (depending on subject matter) PSD, Line Managers, (OHU) potentially made aware of situation (as appropriate by Prob SPOC) Police Regulations and Management of s SOP If appropriate, evidence gathered Dependent on subject, either a PI (Fitness/ Exam), Chief Inspector (Performance) or Chief Superintendent (Criminality / Misconduct) endorses Reg 9 notification (Form 106-001 A/B) Prepares Reg 9 notification (Form 106-001 A/B) with information from relevant sources Establish link to PSD/OHU if applicable made aware. Form 106-001 A/B signed and returned to SPOC Dependent on subject matter, Reg 9 Notification provided to by Inspector, Chief Inspector or Chief Superintendent. Ensure form 106-001 A/B is signed by. Return to Prob SPOC Form 106-001 A/B returned for filing Matter monitored refer to appropriate process flow chart for that specific subject Regulation 9 Notification Regulation 9 Notification - Exam Version 2.00 32

Course Principle at SPC or Divisional OIC Exams SPOC Stakeholders Notes Police Regulations and Management of s SOP Matter arises Mandatory examination failure First Time Course Principal aware & has Reg 9 notification prepared (Form 106-001A) SPOC made aware Prob SPOC notifies Chief Inspector & Line manager made aware of Reg 9 notification. Form 106-001A signed and returned to SPOC Reg 9 notification returned to Prob SPOC (Form 106-001A) Reg 9 noted and filed (Form 106-001A) Evidence gathered Support provided re examination preparation. resits exam 2 nd attempt PASS FAIL Course Principal made aware and remind verbally re Reg 9 SPOC made aware Prob SPOC notifies Chief Inspector & Line manager Evidence gathered Support provided re examination preparation resumes probationary period resits exam 3rd attempt PASS FAIL Course Principal made aware SPOC made aware Prob SPOC notifies Chief Inspector & Line manager If this is the SPC initial exam then a decision made whether to restrict from operational duties. Regulation 9 Notification - Exam resumes Probationary period Reg 9 Re-register Reg 9 discharge process should be considered relevant by Chief Superintendent, after consultation with OIC of examination & SPOC - guided by policy from the Chief Constable-follow Reg 9 discharge process Decision to re-register (only in exceptional circumstances). May be decided as a Policy decision from the Chief Constable Version 2.00 33