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Version 2 – Revised November 2012 1



TABLE OF CONTENTS

Introduction………………………………………………………………………………………………………... P7

Delegated authorit …….…………………………………………………………………………………………. P7

!lossar …………….……………………………………………………………………………………………..P"Police #riend……….……………………………………………………………………………………………...P"

Chapter 1. Guidance on Standards of Professional Behaviour

Introduction …………………....………………………………………………………………………………….. P11$onest and Integrit …..…..……………………………………………………………………………………..P12

%uthorit & Res'ect and (ourtes ……..……………………………………………………………………………P12

)*ualit and Diversit ….…………………………………………………………………………………………P1+

,se o- #orce ……..………………………………………………………………………………………………..P1+

rders andInstructions……………………………………………………………………………………………P1/Duties and Res'onsibilities……..…….…………………………………………………………………………..P1/(on dentialit ….. ..……………………………………………………………………………………………...P1/#itness -or Dut …. ..……………………………………………………………………………………………...P1Discreditable(onduct…………………………………………………………………………………………….P1

3dut (onduct…………………………………………………………………………………………………P14(hallenging and Re'orting Im'ro'er (onduct…………..

…………………………………………………………P17

Chapter 2. Guidance on Police O icer Misconduct Procedures

!eneral………….…………………………………………………………………………………………………..P1"(ases involving more than one allegation……….…………………………………………………………………...P156tudent 'olice o icers……...………………………………………………………………………………………..P156us'ension& restricted or change o- dut …………...………………………………………………………………...P15(onducting investigations here there are 'ossible or outstanding criminal'roceedings……. ….…………………..P21




8isconduct action -ollo ing criminal 'roceedings……….…………………………………………………………P22#ast 9rac: ;6'ecial (ases<…….. ..………………………………………………………………………………...P22=in: bet een 8isconduct Procedures and com'laints& conduct matters andDeath or 6erious In>ur cases to hich the Police Re-orm %ct 2002a''lies………………………………………P22(om'laints3 =ocal Resolution…

………………………………………………………………………………….P2+(om'laints3Investigation………………………………………………………………………………………….P2+6'ecial re*uirements…….

………………………………………………………………………………………....P2+6everit assessment….........………………………………………………………………………………………P2/Investigation o- (onduct matters……….…………………………………………………………………………P2/Investigation re'ort -ollo ing com'laint ;sub>ect o- s'ecial re*uirements<?recordableconduct matter investigation P2Re-erring a matter to misconduct 'roceedings -ollo ing investigation o- a com'laint orrecordable conduct matter P2Death or 6erious In>ur matters ;D6I<…………………………………………………………………………….P24

Misconduct Procedures

%ssessment o- conduct ;Is the case one o- misconduct@<……...……………………………………………………..P24De nitions……......

…………………………………………………………………………………………………P276everit assessment 3 Is the matter 'otentiall misconduct or gross misconduct@……………………...…………….P27Dealing ith misconduct

…………………………………………………………………………………….……P2"8anagement action………….…………………………………………………………………………………….P2"9a:ing -urther disci'linar 'roceedings

……………………………………………………………………………P25Aritten noti cation to 'olice o icer concerned……

………………………………………………………………P+0 %''ointment o- investigator…..

………………………………………………………………………………..…P+1Investigation……..

………………………………………………………………………………………………..P+1Intervie s during investigation..

…………………………………………………………………………………..P+2

8oving bet een 8isconduct and,PP…………………………………………………………………………….P+/Investigation re'ort and su''orting documents……

………………………………………………………………P+




%ction 'rior to misconduct meetings?hearings ……..………………………………………………………………P+

Documents -or the meeting?hearing….……………………………………………………………………………P+7

Aitnesses….……………………………………………………………………………………………………….P+"8isconductmeetings?hearings……………………………………………………………………………………..P+"9iming -or holding meetings? hearings………...………………………………………………………………….P+5Pur'ose o- misconduct meeting?hearing……

…………………………………………………………………….P+5Person;s< a''ointed to hold misconduct meetings?hearings……... .………………………………………………..P/08isconduct meeting3non senior o icers…….

…………………………………………………………………….P/0

8isconduct hearing3 non senior o icers…….…………………………………………………………………….P/08isconduct meeting?hearing – senior o icers ……..

……………………………………………………………...P/08isconduct $earings in Public..

…………………………………………………………………………………..P/1 Boint8eetings?$earings…………………………………………………………………………………………..P/18eeting?hearing in absence o- 'olice o icer concerned….

……………………………………………………….P/1

(onduct o- misconduct meeting?hearing………………………………………………………………………….P/16tandard o- 'roo-………….………………………………………………………………………………………P/2

utcomes o- meetings?hearings……..……………………………………………………………………………P/+

utcomes available at misconduct meetings?hearings…………………………………………………………….P/+

Noti cation o- the outcome…..…………………………………………………………………………………..P/

)C'ir o- Aarnings ……..…………………………………………………………………………………………P/4

6'ecial 'riorit 'a ment?com'etenc related threshold'a ment………………………………………………….P/4

%ttendance o- com'lainant or interested 'erson at misconduct 'roceedings….…………………………………..P/4IP(( direction and attendance at meetings?hearings………..…………………………………………………….P/7Right o- %''eal…..

………………………………………………………………………………………………...P/" %''eal -ollo ing misconduct meeting – non senioro icers……………………………………………………….P/"

%''eal -ollo ing misconduct hearing – non senior o icers ……..…………………………………………………P/5




%''eals against misconduct meetings?hearings3 senior o icers……………………………………………………P/5

Chapter 3. Guidance on Unsatisfactor Perfor!ance and "ttendance Mana#e!entProcedures

GeneralIntroduction ……..………………………………………………………………………………………………….P 16co'e ……….………………………………………………………………………………………………………P 1Princi'les …..……………………...………………………………………………………………………………...P 2

ngoing 'er-ormance assessment and revie …….…………………………………………………………………P 26ources o- in-ormation …..…….……………………………………………………………………………………P +8anagement action…………………………………………………………………………………………………P /

Perfor!ance $ssues

Introduction…..…………………………………………………………………………………………………….P 4

,nsatis-actor'er-ormanceE………………………………………………………………………………………P 4

#rame or: -or action …………………..……..……………………………………………………………………P 4

"ttendance $ssues

Introduction …….. ..………………………………………………………………………………………………..P 4#rame or: -or action … ...…………………………………………………………………………………………P 78onitoring attendance …………………………………………………………………………………….………..P "

ccu'ational health…………….…………………………………………………………………………………..P ")*ualit %ct 2010 and other statutor obligations…………………..……………………………………………….P "

%ction under the Police ;Per-ormance<Regulations…………………………………………………………………P 5

%he UPP process

6tages………..………………………………………………………………………………………………………

P 5Im'rovement notices and action 'lans……………..………………………………………………………………..P40

Version 2 – Revised November 2012 &



Im'rovement Notice eCtensions and sus'ensions………………………. .. ….…………………………………….P41Initiation o- 'rocedures at stage three …….........……………………………………………………………………P418ulti'le instances o- unsatis-actor 'er-ormance…………………..………………………………………………..P41

%he 'irst Sta#e

Pre'aration and 'ur'ose …………………………………………..……………………………………..…………P42

%t the rst stage meeting……..……………………………………………………………………………………...P4+Procedure -ollo ing the rst stagemeeting…………………………………………………………………...……P4/

%ssessment o- 'er-ormance or attendance…………….……………………………………………………………P4

#irst stage a''eals…..……………………………………………………………………………………………….P4

%''eal grounds…..…………………………………………………………………………………………………P4

%t the rst stage a''ealmeeting…………………………………………………………………………………..P4

%he Second Sta#e

Pre'aration and 'ur'ose..…………………………………………………………………………………………P47

%t the second stagemeeting………………………………………………………………………………………..P4"Procedure -ollo ing the second stage meeting…..…………………………………………………………………..P45

%ssessment o- 'er-ormance or attendance…..………………………………………………………………………P706econd stage a''eals…..…………………………………………………………………………………………….P70

%''eal grounds…..

………………………………………………………………………………………………….P71 %t the second stage a''eal meeting………………………………………………………………………………P71

%he %hird Sta#e

Pre'aration and 'ur'ose….…………………………………………………………………………………………P72!ross incom'etence third stage meetings…...……………………………………………………………………….P7/

Panel membershi' and 'rocedure…….……………………………………………………………………………..P7

Version 2 – Revised November 2012 (



b>ection to 'anel members…….…………………………………………………………………………………..P746'ecial constables and third stage meetings……….…………………………………………………………………P778eeting dates and time-rames……………….....……………………………………………………………………P77Procedure on recei't o- notice o- third stagemeeting……………………………………………………………….P77Aitnesses and evidence……………….……………………………………………………………………………P7"

%t the third stage meeting ………..…………………………………………………………………………………P75Records………………….. …………………………………………………………………………………………P75Post'onement and ad>ournment o- a third stage meeting……………….…..……………………………………….P"0

%ssessment o- nal and eCtended3 nal im'rovement notices issued at the third stage……..………………………..P"0 %ssessment o- im'rovement notices issued at the thirdstage………………………………………………………P"19hird stage a''eals….………………………………………………………………………………………………P"1

Other Matters

8anagement action and medical and attendance issues……………………………………………………………..P"1

%ttendance at each stage o- the 'rocedures and ill health….. .………………………………………………………P"28edical retirement under 'olice 'ension legislation…………………..………………………………………….P"2Retirement under %15 o- the Police Pension Regulations 15"7 and Regulation 20 o- thePolice Pensions Regulations 2004& the +0F and +0FP=,6 schemes…………………………………………………………………………….P"+(om'etenc Related 9hreshold Pa ments……..…………………………………………………………………..P"/ 9he useo- records under ,PPs….…………………………………………………………………………………P"/

Interaction ith Police (om'laints s stem…..……………………………………….……………………………P"/

Chapter 4. Guidance on "ttendance Mana#e!ent

Introduction….……………………………………………………………………………………………………..P"46co'e….…………………………………………………………………………………………………………….P"4Ge 'rinci'les….……………………………………………………………………………………………………P"4Polic ….…………………………………………………………………………………………………………….P"7

Version 2 – Revised November 2012 )



9he'rocedure………………………………………………………………………………………………………P""8anaging 'rocesses…...…………………………………………………………………………………………….P"56hort3term absence….……………………………………………………………………………………………..P"5=ong3term absence…..……………………………………………………………………………………………..P"58aintaining contact….……………………………………………………………………………………………..P"5#acilitating return to or:….………………………………………………………………………………………P50Pa ment during sic:ness absence…..……………………………………………………………………………….P50Return to or: intervie s…..………………………………………………………………………………………P50

Disabilit ….………………………………………………………………………………………………………..P51Recu'erative duties………..……………………………………………………………………………………….P51Restricted duties…..........…………………………………………………………………………………………P51Ill3health retirement…..……………………………………………………………………………………………..P52,nsatis-actor 'er-ormance 'rocedures….…………………………………………………………………………P52

%llocating res'onsibilities….……………………………………………………………………………………….P52Role o- ccu'ational $ealth….……………………………………………………………………………………P52$ealth and sa-et …...………………………………………………………………………………………………..P5+9raining and communication…..……………………………………………………………………………………P5/8onitoring individual 'rogress…...………………………………………………………………………………….P5/

Revie s…...…………………………………………………………………………………………………………P5

%udit andrevie …………………………………………………………………………………………………..P5

"nne* " 3 #ast 9rac: Procedures ;s'ecial cases<….………………………………………………………………P57

"nne* B + 8isconduct 8eetings?$earings – 6enior Police icer…..…………………………………………...P101

"nne* C – Police %''eals 9ribunals…..…………………………………………………………………………..P10+

"nne* , – 6econded Police icers…..………………………………………………………………………….P112

Version 2 – Revised November 2012 -



"nne* – 6tandard Aritten Notice…..………………………………………………………………………...P11/

Version 2 – Revised November 2012 /



INTRODUCTION

(a) This guidance covers the Standards of Professional Behaviour for police officers, including specialconstables, and sets out the procedures for dealing with misconduct, unsatisfactory performance andattendance and for appeals to the Police Appeals Tribunal. The procedures described in this guidance aredesigned to accord with the principles of natural ustice and the basic principles of fairness, and should beadministered accordingly.

(b) The guidance is issued by the Secretary of State under section !"(#) of the Police Act #$$%. Section!"(#) allows the Secretary of State to issue guidance as to the discharge of functions under regulations inrelation to, among other things, the conduct, efficiency and effectiveness of police officers and themaintenance of discipline. Sections &'( ) and &#( A) re*uire the regulations to establish, or ma+e

provision for the establishment of, procedures for the ta+ing of disciplinary proceedings. Those who areresponsible for administering the procedures described in this guidance are reminded that they arere*uired to ta+e its provisions fully into account when discharging their functions. hilst it is notnecessary to follow its terms e-actly in all cases, the guidance should not be departed from without goodreason. This guidance is not a definitive interpretation of the relevant legislation. nterpretation isultimately a matter for the courts. here e-amples are given in this guidance they are not intended to bee-clusive or e-haustive.

(c) The guidance on the individual procedures is designed to further the aims of being fair to theindividual police officer and of arriving at a correct assessment of the matter in *uestion and providingconfidence in the system.

(d) The misconduct procedures set out in this guidance apply to all police officers, including specialconstables.

e) The unsatisfactory performance procedures described in this guidance apply to all police officers

(e-cept student police officers in their probationary period) up to and including the ran+ of /hiefSuperintendent and all special constables. These unsatisfactory performance procedures do not apply tosenior officers.

f) The Police (Promotion) 0egulations #$$% ma+e provision for the chief officer of police, where heor she considers that a person, who is on probation in the ran+ of sergeant, is unli+ely to perform theduties of that ran+ satisfactorily, to reduce the sergeant to the ran+ of constable. t is therefore importantthat in such cases the Promotion 0egulations are used and not the /onduct or Performance 0egulations.

g) 1uidance on dealing with issues of misconduct or unsatisfactory performance regarding policeofficers on secondment under section $" of the Police Act #$$% can be found at Anne- 2.

Delegated authority

(h) here reference is made to 3the appropriate authority4 and the appropriate authority is a chiefofficer of police, he or she may delegate any of his or her functions to a police officer of at least the ran+of chief inspector or a police staff member who is, in the opinion of the chief officer, of at least a similarlevel of seniority to a chief inspector.

(i) 5owever any decision regarding the suspension of a police officer, a decision whether to refer amisconduct matter to a special case hearing or in the case of the Performance 0egulations the decision torefer a matter direct to a stage meeting for gross incompetence, must be authorised by a senior officer.

( ) The misconduct and performance procedures are designed to be dealt with at the lowest appropriatemanagerial level having regard to all the circumstances of the particular matter.




Glossary

;:< 9hroughout the guidance the -ollo ing terms ill be usedH 3

;a< 2002 %ctE means the Police Re-orm %ct 2002

;b< (onduct RegulationsE means the Police ;(onduct< Regulations 2012.

;c< Per-ormance RegulationsE means the Police ;Per-ormance< Regulations2012.

;d< (om'laint RegulationsE means the Police ;(om'laints and 8isconduct<Regulations 2012.

;e< IP(( statutor guidanceE means the Inde'endent Police (om'laints(ommission 6tatutor !uidance hich is available on the IP(( ebsite.

;-< misconduct 'roceedingsE means misconduct meeting or misconducthearing

;g< 9he (onduct Regulations and the Per-ormance Regulations use the termrelevant la erJ. Relevant la erJ includes a solicitor or barrister and

there-ore these terms are used throughout this guidance.

;h< %''ro'riate authorit E meansH 3

•

Ahere the o icer concerned is the chie- o icer o- an 'olice -orce or an actingchie- o icer& the elected local 'olicing bod -or the area o- the 'olice -orce o- hich he is a memberK

• In an other case& the chie- o icer o- 'olice o- the 'olice -orce concerned

;i< 6enior o icerE means a 'olice o icer above the ran: o- chie- su'erintendent.

;>< (hie- o icerE means a 'olice o icer o- (hie- (onstable or (ommissionerran:.

Police Friend

• Police o icers have the right to consult ith& and be accom'anied b & a 'olice-riend at an intervie during an investigation into misconduct and at allstages o- the misconduct or 'er-ormance 'roceedings.

• 9he 'olice o icer concerned ma choose a 'olice o icer& a 'olice stamember or ; here the 'olice o icer is a member o- a 'olice -orce< a 'ersonnominated b the 'olice o icerJs sta association to act as his or her 'olice

-riend. % 'erson a''roached to be a 'olice -riend is entitled to decline to actas such.




• % 'olice -riend cannot be a''ointed to act as such i- he or she has had someinvolvement in that 'articular case e.g. he or she is a itness etc.

• % 'olice -riend should not be as:ed to 'rovide an account relating to anmatter connected ith their role as a 'olice -riend. It is -or 'olice -riends tobe mind-ul o- their role as a 'olice o icer and to disclose an in-ormation

hich it ould reasonabl be their dut to disclose.

The police friend can:

• %dvise the 'olice o icer concerned throughout the 'roceedings under the(onduct Regulations and the Per-ormance Regulations.

• ,nless the 'olice o icer concerned has the right to be legall re'resented andchooses to be so re'resented& re'resent the 'olice o icer concerned at themisconduct 'roceedings& 'er-ormance 'roceedings& a''eal meeting& a s'ecialcase hearing or at a Police %''eals 9ribunal.

• 8a:e re'resentations to the a''ro'riate authorit concerning an as'ect o- the 'roceedings under the (onduct or Per-ormance RegulationsK and

• %ccom'an the 'olice o icer concerned to an intervie & meeting or hearinghich -orms 'art o- an 'roceedings under the (onduct or Per-ormance

Regulations.

It is good 'ractice to allo the 'olice -riend to 'artici'ate as -ull as 'ossible& butat an intervie & meeting or hearing the 'olice -riend is not there to ans er*uestions on the 'olice o icerJs behal-. It is -or the 'olice o icer concerned tos'ea: -or himsel- or hersel- hen as:ed *uestions.

% 'olice -riend ho has agreed to accom'an a 'olice o icer is entitled to ta:e areasonable amount o- dut time to -ul l his or her res'onsibilities as a 'olice -riendand should be considered to be on dut hen attending intervie s& meetings orhearings.

6ub>ect to an timescales set out in the (onduct or Per-ormance Regulations& atan stage o- a case& u' to and including a misconduct meeting or hearing or anunsatis-actor 'er-ormance meeting& the 'olice o icer concerned or his or her

'olice -riend ma submit that there are insu icient grounds u'on hich to basethe case and?or that the correct 'rocedures have not been -ollo ed& clearl settingout the reasons and submitting an su''orting evidence. It ill be -or the 'ersonres'onsible -or the relevant stage o- the case to consider an such submission anddetermine ho best to res'ond to it& bearing in mind the need to ensure -airness tothe 'olice o icer concerned.

%t a misconduct meeting& hearing or s'ecial case hearing under the (onductRegulations or the Per-ormance Regulations here the 'olice -riend attends& he orshe ma –

i< 'ut the 'olice o icer concernedJs case

ii< sum u' that case




iii< res'ond on the 'olice o icer concernedJs behal- to an vie eC'ressed atthe meeting

iv< ma:e re'resentations concerning an as'ect o- the 'roceedings

v< con-er ith the 'olice o icer concerned

vi< in a misconduct meeting or hearing& as: *uestions o- an itness& sub>ectto the discretion o- the 'erson;s< conducting that hearing.

% 'olice o icer is entitled to be legall re'resented at a misconduct hearing ors'ecial case hearing ;in cases that -all to be dealt ith under the (onductRegulations< or a +rd stage Per-ormance meeting ;-or dealing ith an issue o-gross incom'etence under the Per-ormance Regulations<. Ahere he or she decidesto be so re'resented& the 'olice -riend can also attend and ma consult ith the'olice o icer concerned& but ill not carr out -unctions i<3iv< and vi< describedabove.

%n o icer intervie ed -or a criminal investigation is entitled in la to beaccom'anied b a la erK there is no entitlement to be su''orted b a 'olice-riend either in addition to or in 'lace o- the la er. Ahere an o icer isintervie ed as 'art o- a misconduct intervie & he or she is entitled to have a 'olice-riend 'resent. It is o-ten the case that an intervie -or criminal 'ur'oses issought to be relied on subse*uentl -or a misconduct investigation. It -ollo s thatthere are bene ts -or both investigators and o icers in allo ing a 'olice -riend tobe 'resent -or the criminal intervie i- it has the 'otential to be used -ormisconduct matters. It avoids the need -or re'eated intervie s and allo s the'olice -riend to su''ort the o icer -ull in-ormed o- the allegations. Investigators

ill there-ore ant to eigh the advantages and disadvantages o- declining are*uest -or a 'olice -riend to be 'resent -or a criminal intervie & recognising thatin la there is no entitlement -or that to be the case.

It is not the role o- the 'olice -riend to conduct his or her o n investigation intothe matter. ;6ee 'aragra'h 2.117 regarding the o''ortunit to 'rovide in-ormationto the investigator<

Ahere a 'olice -riend is acting as such -or a colleague -rom another -orce& then thea''ro'riate authorit -or the 'olice -riend should 'a the reasonable eC'enses o-the 'olice -riend.




CHAPTER 1

Guidance on Standards of Professional Behaviour

Introduction

1.1 Public con dence in the 'olice is crucial in a s stem that rests on the 'rinci'leo- 'olicing b consent. Public con dence in the 'olice de'ends on 'olice o icersdemonstrating the highest level o- 'ersonal and 'ro-essional standards o-behaviour. 9he standards set out belo reLect the eC'ectations that the 'oliceservice and the 'ublic have o- ho 'olice o icers should behave. 9he are notintended to describe ever situation but rather to set a -rame or: hich ever onecan easil understand. 9he enable ever bod to :no hat t 'e o- conduct b a'olice o icer is acce'table and hat is unacce'table. 9he standards should beread and a''lied having regard to this guidance.

1.2 9he standards o- 'ro-essional behaviour also reLect relevant 'rinci'lesenshrined in the )uro'ean (onvention on $uman Rights and the (ouncil o- )uro'e(ode o- Police )thics. 9he a''l to 'olice o icers o- all ran:s -rom (hie- icerto (onstable& 6'ecial (onstables and to those sub>ect to sus'ension.

1.+ 9he standards set out belo do not restrict 'olice o icersJ discretionK ratherthe de ne the 'arameters o- conduct ithin hich that discretion should beeCercised. % breach o- these high standards ma damage con dence in the 'oliceservice and could lead to action -or misconduct& hich in serious cases couldinvolve dismissal.

1./ 9he 'ublic have the right to eC'ect the 'olice service to 'rotect them bu'holding the la and 'roviding a 'ro-essional 'olice service. Police o icers havethe right to a or:ing environment -ree o- harassment or discrimination -romothers ithin the service.

1. 9hose entrusted to su'ervise and manage others are role models -ordelivering a 'ro-essional& im'artial and e ective 'olicing service. 9he have a'articular res'onsibilit to maintain standards o- 'ro-essional behaviour bdemonstrating strong leadershi' and b dealing ith conduct hich has -allenbelo these standards in an a''ro'riate a & such as b management action or the

-ormal misconduct 'rocess. %bove all else 'olice managers should lead beCam'le.

1.4 In carr ing out their duties in accordance ith these standards& 'olice o icershave the right to receive the -ull su''ort o- the 'olice service. It is recognised thatthe abilit o- 'olice o icers to carr out their duties to the highest 'ro-essionalstandards ma de'end on the 'rovision o- a''ro'riate training& e*ui'ment andmanagement su''ort.

1.7 9he 'olice service has a res'onsibilit to :ee' 'olice o icers in-ormed o-changes to 'olice regulations& local 'olicies& la s and 'rocedures. Police o icershave a dut to :ee' themselves u' to date on the basis o- the in-ormation 'rovided.

1." Ahere these 6tandards o- Pro-essional Mehaviour are being a''lied in andecision or misconduct meeting?hearing& the shall be a''lied in a reasonable&




trans'arent& ob>ective& 'ro'ortionate and -air manner. Due regard shall be 'aid tothe nature and circumstances o- a 'olice o icerJs conduct& including hether hisor her actions or omissions ere reasonable at the time o- the conduct underscrutin .

1.5 9his guidance gives eCam'les to hel' 'olice o icers inter'ret the standardseC'ected in a consistent a . 9he are not intended to be an eCclusive oreChaustive list.

1.10 Ahere the misconduct 'rocedure is being a''lied& it is im'ortant to identi-the actual behaviour that is alleged to have -allen belo the standard eC'ected o- a'olice o icer& ith clear 'articulars describing that behaviour.

1.11 It should be remembered that the unsatis-actor 'er-ormance 'rocedureseCist to deal ith unsatis-actor 'er-ormance& attendance and issues o- ca'abilit .

Honesty and Integrity

1.12 Police o icers are honest& act ith integrit and do not com'romise or abusetheir 'osition.

1.1+ Police o icers act ith integrit and are o'en and truth-ul in their dealingsith the 'ublic and their colleagues& so that con dence in the 'olice service is

secured and maintained.

1.1/ Police o icers do not :no ingl ma:e an -alse& misleading or inaccurate oralor ritten statements or entries in an record or document :e't or made inconnection ith an 'olice activit .

1.1 Police o icers neither solicit nor acce't the o er o- an gi-t& gratuit orhos'italit that could com'romise their im'artialit . Police o icers al a s considercare-ull the motivation behind such an o er and an ris: o- being seen or'erceived to be im'ro'erl beholden to a 'erson or an organisation.

1.14 During the course o- their duties 'olice o icers ma be o ered light orineC'ensive re-reshments and this ma be acce'table as 'art o- their role. It is notantici'ated that ineC'ensive or trivial gi-ts ould com'romise the integrit o- a'olice o icer& such as those -rom con-erences ;e.g. 'romotional 'roducts< ordiscounts aimed at the entire 'olice -orce ;e.g. advertised discounts through 'olice'ublications<. %ll gi-ts& gratuities and hos'italit other than those mentioned abovemust be declared in accordance ith local -orce 'olic here authorit to acce'tma be re*uired -rom a manager& a (hie- icer or local 'olicing bod . I- a 'oliceo icer is in an doubt over the 'ro'riet o- an such o er& the should see: advice-rom their manager.

1.17 Police o icers never use their 'osition or arrant card to gain anunauthorised advantage ; nancial or other ise< that could give rise to theim'ression that the 'olice o icer is abusing his or her 'osition. % arrant card isonl to con rm identit or to eC'ress authorit .

Authority, Respect and Courtesy

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1.1" Police o icers act ith sel-3control and tolerance& treating members o- the'ublic and colleagues ith res'ect and courtes .

1.15 Police o icers do not abuse their 'o ers or authorit and res'ect the rights o- all individuals.

1.20 In eCercising their duties& 'olice o icers never abuse their authorit or the'o ers entrusted to them. Police o icers are ell 'laced to 'rotect individuals andgrou's ithin societ . 9he have been given im'ortant 'o ers and res'onsibilitiesdue to the com'leC and di icult situations the deal ith. 9he 'ublic have the rightto eC'ect that such 'o ers are used 'ro-essionall & im'artiall and ith integrit &irres'ective o- an individualJs status.

1.21 Police o icers do not harass or bull colleagues or members o- the 'ublic.(hallenging conduct or unsatis-actor 'er-ormance or attendance in ana''ro'riate manner ould not constitute bull ing.

1.22 Police o icers do not& under an circumstances inLict& instigate or toleratean act o- inhuman or degrading treatment ;as enshrined in %rticle + o- the)uro'ean (onvention on $uman Rights<.

1.2+ Police o icers& recognise that some individuals ho come into contact iththe 'olice& such as victims& itnesses or sus'ects& ma be vulnerable and there-orema re*uire additional su''ort and assistance.

1.2+% Police o icers do not use their 'ro-essional 'osition to establish or 'ursue aseCual or im'ro'er emotional relationshi' ith a 'erson ith hom the come intocontact in the course o- their duties and ho is vulnerable to an abuse o- trust or'o er.

1.2/ Police o icers use a''ro'riate language and behaviour in their dealings iththeir colleagues and the 'ublic. 9he do not use an language or behave in a athat is o ensive or is li:el to cause o ence.

1.2 =i:e all 'ro-essionals& 'olice o icers have s'ecial :no ledge and eC'eriencethat man others do not 'ossess ;-or eCam'le hat ma or ma not constitute ano ence<. Police o icers do not ta:e un-air advantage o- the ine*ualit that arises-rom a member o- the 'ublic being ill3e*ui''ed to ma:e an in-ormed >udgementabout a matter in res'ect o- hich he or she does not have the s'ecial :no ledgeo- the 'olice o icer.

E uality and Di!ersity

1.24 Police o icers act ith -airness and im'artialit . 9he do not discriminateunla -ull or un-airl .

1.27 Police o icers carr out their duties ith -airness and im'artialit and inaccordance ith current e*ualit legislation. In 'rotecting othersJ human rights&the act in accordance ith %rticle 1/ o- the )uro'ean (onvention on $uman

Rights.

1.2" Police o icers need to retain the con dence o- all communities and there-oreres'ect all individuals and their traditions& belie-s and li-est les 'rovided that such

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are com'atible ith the rule o- la . In 'articular 'olice o icers do not discriminateunla -ull or un-airl hen eCercising an o- their duties& discretion or authorit .

1.25 Police o icers 'a due regard to the need to eliminate unla -ul discriminationand 'romote e*ualit o- o''ortunit and good relations bet een 'ersons o-di erent grou's.

1.+0 Police managers have a 'articular res'onsibilit to su''ort the 'romotion o-e*ualit and b their actions to set a 'ositive eCam'le.

1.+1 Di erent treatment o- individuals hich has an ob>ective >usti cation ma notamount to discrimination.

"se of Force

1.+2 Police o icers onl use -orce to the eCtent that it is necessar & 'ro'ortionateand reasonable in all the circumstances.

1.++ 9here ill be occasions hen 'olice o icers ma need to use -orce in carr ingout their duties& -or eCam'le to e ect an arrest or 'revent harm to others.

1.+/ It is -or the 'olice o icer to >usti- his or her use o- -orce but hen assessinghether this as necessar & 'ro'ortionate and reasonable all o- the circumstances

should be ta:en into account and es'eciall the situation hich the 'olice o icer-aced at the time. Police o icers use -orce onl i- other means are or ma beine ective in achieving the intended result.

1.+ %s -ar as it is reasonable in the circumstances 'olice o icers act in accordanceith their training in the use o- -orce to decide hat -orce ma be necessar &

'ro'ortionate and reasonable. 6ection + o- the (riminal =a %ct 1547& section 117o- the Police and (riminal )vidence %ct 15"/& section 74 o- the (riminal Busticeand Immigration %ct 200"& and common la ma:e it clear that -orce ma onl beused hen it is reasonable in the circumstances. 1.+4 %rticle 2 ;2< o- the )uro'ean (onvention on $uman Rights 'rovides a strictertest -or the use o- lethal -orce. 9he use o- such -orce must be no more than isabsolutel necessar H ;a< in de-ence o- an 'erson -rom unla -ul violenceK ;b< inorder to e ect a la -ul arrest or to 'revent the esca'e o- a 'erson la -ulldetainedK or ;c< in action la -ull underta:en to *uell a riot or insurrection.

1.+7 Police o icers res'ect ever oneJs right to li-e ;as enshrined in %rticle 2 o- the)uro'ean (onvention on $uman Rights< and do not& under an circumstances&inLict& instigate or tolerate an act o- torture& inhuman or degrading treatment or'unishment ;%rticle +<.

#rders and Instructions

1.+" Police o icers onl give and carr out la -ul orders and instructions.

1.+5 Police o icers abide b 'olice regulations& -orce 'olicies and la -ul orders.

1./0 9he 'olice service is a disci'lined bod and there-ore an decision not to-ollo an order or instruction ill need to be -ull >usti ed.

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1./1 9here ma ho ever be instances hen -ailure to -ollo an order or instructiondoes not amount to misconduct. 9his ma be -or eCam'le here the 'olice o icerreasonabl believed that a la -ul order as in -act unla -ul or here a 'oliceo icer had good and su icient reason not to com'l having regard to all thecircumstances and 'ossible conse*uences.

1./2 Police o icers do not give orders or instructions hich the do not reasonablbelieve are la -ul.

1./+ Police o icers& to the best o- their abilit & su''ort their colleagues in theeCecution o- their la -ul dut .

1.// Police o icers abide b 'olice regulations and -orce 'olicies and acce't therestrictions on their 'rivate lives as described in 6chedule 1 to the PoliceRegulations 200+ ;as amended< and determinations made under those Regulations.

Duties and Responsi$ilities

1./ Police o icers are diligent in the eCercise o- their duties and res'onsibilities.

1./4 Police o icers do not neglect their duties or res'onsibilities. 1./7 Ahen deciding i- a 'olice o icer has neglected his or her duties all o- thecircumstances should be ta:en into account. Police o icers have ide discretionand ma have to 'rioritise the demands on their time and resources. 9his mainvolve leaving a tas: to do a di erent one& hich in their >udgement is moreim'ortant. 9his is acce'ted and in man cases essential -or good 'olicing.

1./" Police o icers ensure that accurate records are :e't o- the eCercise o-their duties and 'o ers as re*uired b relevant legislation& -orce 'olicies and'rocedures.

1./5 In carr ing out their duties 'olice o icers have a res'onsibilit toeCercise reasonable care to 'revent loss o- li-e or loss or damage to the 'ro'ert o- others ;including 'olice 'ro'ert <.

Con%dentiality

1. 0 Police o icers treat in-ormation ith res'ect and access or disclose itonl in the 'ro'er course o- 'olice duties.

1. 1 9he 'olice service shares in-ormation ith other agencies and the 'ublicas 'art o- its legitimate 'olicing business. Police o icers never access or disclosean in-ormation that is not in the 'ro'er course o- 'olice duties and do not accessin-ormation -or 'ersonal reasons. Police o icers ho are unsure i- the shouldaccess or disclose in-ormation al a s consult ith their manager or de'artmentthat deals ith data 'rotection or -reedom o- in-ormation be-ore accessing ordisclosing it.

1. 2 Police o icers do not 'rovide in-ormation to third 'arties ho are notentitled to it. 9his includes -or eCam'le& re*uests -rom -amil or -riends&a''roaches b 'rivate investigators and unauthorised disclosure to the media.

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1. + Ahere a 'olice o icer 'rovides an re-erence in a 'rivate as o''osed to'ro-essional ca'acit & then he or she ill ma:e this clear to the intended reci'ientand ill em'hasise that it is being 'rovided in a 'rivate ca'acit and no 'olicein-ormation has been accessed or disclosed in giving such a re-erence.

Fitness for Duty

1. / Police o icers hen on dut or 'resenting themselves -or dut are t tocarr out their duties and res'onsibilities.

1. Police o icers do not ma:e themselves un t or im'aired -or dut as aresult o- drin:ing alcohol& using an illegal drug or using a substance -or non3medical 'ur'oses or intentionall misusing a 'rescri'tion drug.

1. 4 Police o icers ho 'resent themselves to their -orce ith a drin: or drugsmisuse 'roblem ill be su''orted i- the demonstrate an intention to address the

'roblem and ta:e ste's to overcome it. $o ever& the use o- illegal drugs ill notbe condoned. % sel- declaration made a-ter a 'olice o icer is noti ed o- there*uirement to ta:e a test -or 'ossible substance misuse cannot be used to-rustrate action being ta:en -or misconduct that ma -ollo a 'ositive test result.

1. 7 Police o icers ho are a are o- an health concerns that ma im'air theirabilit to 'er-orm their duties should see: guidance -rom the organisationJsoccu'ational health adviser and i- a''ro'riate reasonable ad>ustments can bemade.

1. " % 'olice o icer ho is uneC'ectedl called to attend -or dut andconsiders that he or she is not t to 'er-orm such dut should sa that this is thecase.

1. 5 Police o icers hen absent -rom dut & on account o- sic:ness or in>ur & do notengage in activities that are li:el to im'air their return to dut . Police o icers illengage ith the -orce medical o icer or other member o- the occu'ational healthteam i- re*uired and -ollo an advice given unless there are reasonable groundsnot to do so.

Discredita$le Conduct

1.40 Police o icers behave in a manner hich does not discredit the 'oliceservice or undermine 'ublic con dence& hether on or o dut .

1.41 Police o icers re'ort an action ta:en against them -or a criminal o ence&conditions im'osed b a court or the recei't o- an 'enalt notice.

1.42 Discredit can be brought on the 'olice service b an act itsel- or because'ublic con dence in the 'olice is undermined. In general& it should be the actualunderl ing conduct o- the 'olice o icer that is considered under the misconduct'rocedures& hether the conduct occurred on or o dut . $o ever here a 'olice

o icer has been convicted o- a criminal o ence that alone ma lead to misconductaction irres'ective o- the nature o- the conduct itsel-. In all cases it must be clearlarticulated ho the conduct or conviction discredits the 'olice service.

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1.4+ In the interests o- -airness& consistenc and reasonableness the test is notsolel about media coverage but has regard to all the circumstances.1.4/ Police o icers are re*uired to re'ort as soon as reasonabl 'racticable to their-orce an occasion in the ,G or else here here the have been sub>ect to arrest&a summons -or an o ence& a 'enalt notice -or disorder& an endorsable Ced'enalt notice -or a road tra ic o ence& or a charge or caution -or an o ence ban en-orcement agenc .

1.4 9he must also re'ort as soon as reasonabl 'racticable all convictions andsentences and conditions im'osed b an court& hether criminal or civil;eCcluding matrimonial 'roceedings ;but including non3molestation orders oroccu'ation orders<<. (onditions im'osed b a courtJ ould include& -or eCam'le&orders to deal ith anti3social behaviour& a restraining order& or a bind3over.

1.44 % 'olice o icer being sub>ect to an o- these measures could discredit the'olice service and ma result in action being ta:en -or misconduct against him orher de'ending on the circumstances o- the 'articular matter.

1.47 Police o icers do not 'urchase or consume alcohol hen on dut & unlesss'eci call authorised to do so or it becomes necessar -or the 'ro'er discharge o- a 'articular 'olice dut .

1.4" Police o icers on dut hether in uni-orm or in 'lain3clothes& dis'la a'ositive image o- the 'olice service in the standard o- their a''earance hich isa''ro'riate to their o'erational role. 1.45 Police o icers attend 'unctuall hen rostered -or dut or othercommitment ;e.g. attendance at court<.

#&'duty conduct

1.70 Police o icers have some restrictions on their 'rivate li-e. 9heserestrictions are laid do n in the Police Regulations 200+ ;as described in'aragra'h 1.//<. 9hese restrictions have to be balanced against the right to a'rivate li-e. 9here-ore& in considering hether a 'olice o icer has acted in a a

hich -alls belo these standards hile o 3dut & due regard should be given tothat balance and an action should be 'ro'ortionate ta:ing into account all o- thecircumstances.

1.71 )ven hen o dut & 'olice o icers do not behave in a manner that discreditsthe 'olice service or undermines 'ublic con dence.

1.72 In determining hether a 'olice o icerJs o 3dut conduct discredits the'olice service& the test is not hether the 'olice o icer discredits hersel- orhimsel- but the 'olice service as a hole.

1.7+ Police o icers are 'articularl a are o- the image that the 'ortra henre'resenting the 'olice service in an o icial ca'acit even though the ma be o 3dut ;e.g. at a con-erence<.

1.7/ Ahen 'olice o icers 'roduce their arrant card ;other than -oridenti cation 'ur'oses onl < or act in a a to suggest that the are acting in theirca'acit as a 'olice o icer ;e.g. declaring that the are a 'olice o icer< the are




demonstrating that the are eCercising their authorit and have there-ore 'utthemselves on dut and ill act in a a hich con-orms to these standards. #oreCam'le& during a dis'ute ith a neighbour a 'olice o icer ho decides to 'roducea arrant card ould be considered to be on dut .

1.7 Police o icers ma onl hold or underta:e a business interest or anadditional occu'ation here an a''lication to hold or underta:e it has beena''roved in accordance ith the Police Regulations 200+. Police o icers do notconduct such interests or occu'ations i- a''roval has been re-used or ithdra n&nor do the breach an condition o- a''roval im'osed.

1.74 %ll -orms o- management action and -ormal outcomes -or misconduct areavailable in res'onse to o 3dut conduct

Challenging and Reporting I(proper Conduct

1.77 Police o icers re'ort& challenge or ta:e action against the conduct o-colleagues hich has -allen belo the standards o- 'ro-essional behavioureC'ected.

1.7" Police o icers are eC'ected to u'hold the standards o- 'ro-essional behaviourin the 'olice service b ta:ing a''ro'riate action i- the come across the conducto- a colleague hich has -allen belo these standards. 9he never ignore suchconduct.

1.75 Police o icers ho in the circumstances -eel the cannot challenge acolleague directl & -or eCam'le i- the are a more >unior ran: and are not con dent&re'ort their concerns& 're-erabl to a line manager. I- the do not -eel able toa''roach a line manager ith their concerns& the ma re'ort the matter throughthe -orceJs con dential re'orting mechanism& or to the local 'olicing bod or theInde'endent Police (om'laints (ommission ;IP((<.

1."0 Police o icers are su''orted b the 'olice service i- the re'ort conduct b a'olice o icer hich has -allen belo the standards eC'ected unless such a re'ort is-ound to be malicious or other ise made in bad -aith.

1."1 It is acce'ted that the circumstances ma ma:e immediate action di icult but'olice managers are eC'ected to challenge or ta:e action as soon as 'ossible.

1."2 It is acce'ted ho ever that it ill not al a s be necessar to re'ort a'olice o icerJs conduct i- the matter has been dealt ith a''ro'riatel b amanager in the 'olice service.




CHAPTER

Guidance on Police Officer !isconduct Procedures

)* General

2.1 9his 'rocedure a''lies to all 'olice o icers ;including s'ecial constables<and under'ins the 6tandards o- Pro-essional Mehaviour hich set out the highstandards o- behaviour that the 'olice service and the 'ublic eC'ect o- 'oliceo icers. %n -ailure to meet these standards ma undermine the im'ortant or: o- the 'olice service and 'ublic con dence in it.

2.2 9his guidance a''lies to the handling o- misconduct cases that have cometo the notice o- the a''ro'riate authorit on or a-ter the 22 nd November 2012.(ases arising be-ore that date ill continue to be dealt ith under the Police;(onduct< Regulations 200" or the Police ;Per-ormance< Regulations 200"& ith

certain modi cations. 9he 'revious edition o- this guidance continues to a''l inthose cases& but regard should be had to the transitional 'rovisions in the Police;(onduct< Regulations 2012 and the Police ;Per-ormance< Regulations 2012

hich set out the a s in hich the 200" Regulations are modi ed to reLect there'lacement o- 'olice authorities b Police and (rime (ommissioners and thetrans-er o- res'onsibilit -or senior o icers to the chie- o icer o- 'olice.

2.+ 9he misconduct 'rocedures aim to 'rovide a -air& o'en and 'ro'ortionatemethod o- dealing ith alleged misconduct. 9he 'rocedures are intended toencourage a culture o- learning and develo'ment -or individuals and? or theorganisation.

2./ Disci'linar action has a 'art& hen circumstances re*uire this& butim'rovement ill al a s be an integral dimension o- an outcome ;even in thecase here an individual has been dismissed there can be learning o''ortunities-or the Police 6ervice<.

2. 9he misconduct 'rocedure has been 're'ared b the $ome ice inconsultation ith the %ssociation o- (hie- Police icers ;%(P <& the Police#ederation o- )ngland and Aales ;P#)A<& the Police 6u'erintendentsJ

%ssociation o- )ngland and Aales ;P6%)A<& the (hie- Police icers 6ta %ssociation ;(P 6%<& the %ssociation o- Police %uthorities ;%P%<& the %ssociationo- Police %uthorit (hie- )Cecutives ;%P%()<& $er 8a>est Js Ins'ectorate o-(onstabular ;$8I(< and the Inde'endent Police (om'laints (ommission;IP((<.

2.4 9he 'olice misconduct 'rocedures are designed to reLect hat isconsidered to be best 'ractice in other elds o- em'lo ment hile recognisingthat 'olice o icers have a s'ecial status as holders o- the ice o- (onstable.9he Police 6ervice is committed to ensuring that the 'rocedure is a''lied -airlto ever one.

2.7 It is im'ortant that managers understand their res'onsibilit to res'ond to&and deal 'rom'tl & and e ectivel ith& unsatis-actor behaviour and com'laintsabout 'olice conduct -rom members o- the 'ublic and?or colleagues. It is a :e




res'onsibilit o- all managers to understand and a''l the 'rocedure in a -air&'ro'ortionate and timel manner.

2." (om'laints and misconduct should be dealt ith at the lo est a''ro'riatemanagerial level and the 'olice service ill su''ort an manager ho haseCercised his or her >udgement reasonabl and adhered to the guidance'rovided.

2.5 Ahere the conduct is lin:ed to a com'laint& recordable conduct matter ordeath or serious in>ur matter ;as de ned in section 12 o-& and 'aragra'h 11 o-6chedule + to& the 2002 %ct< the a''ro'riate authorit is re*uired to -ollo the'rovisions in the Police Re-orm %ct 2002 ;the 2002 %ctE<& the accom'an ingPolice ;(om'laints and 8isconduct< Regulations 2012 ;the (om'laintRegulationsE< and the IP(( statutor guidance hich set out ho com'laints bmembers o- the 'ublic are to be dealt ith.

2.10 9he misconduct 'rocedures should not be used as a means o- dealing ith

unsatis-actor 'er-ormance ;see assessment stage at 'aragra'h 2.71<. 9heunsatis-actor 'er-ormance 'rocedures ;see cha'ter +< eCist to deal ith issueso- individual unsatis-actor 'er-ormance and attendance.

Cases involving more than one allegation

2.10% Ahere an a''ro'riate authorit is considering more than one allegationin relation to the same 'olice o icer& the allegations ma be ta:en together andtreated as a single allegation -or the 'ur'ose o- ma:ing an assessment& nding&determination or decision in connection ith the conduct that is the sub>ect o-the allegation. 9here-ore in ma:ing the severit assessment& the assessor madetermine hether all the conduct alleged ;ta:en together< ould meet the testo- misconduct or gross misconduct. ;6ee 'ara 2.20 %<.

+tudent police o cers

2.11 6tudent 'olice o icers ;'robationar constables< are not sub>ect to the'rocedures -or dealing ith unsatis-actor 'er-ormance& since there arese'aratel established 'rocedures -or dealing ith the 'er-ormance o- student'olice o icers. $o ever& student 'olice o icers are sub>ect to the misconduct'rocedures. 9he chie- o icer has discretion hether to use the misconduct'rocedures or the 'rocedures set out at Regulation 1+ o- the Police Regulations200+ ;Discharge o- 'robationer< as the most a''ro'riate means o- dealing itha misconduct matter. In eCercising this discretion due regard should be had to

hether the student 'olice o icer admits to the conduct or not. Ahere themisconduct in *uestion is not admitted b the student 'olice o icer then& inmost& i- not all cases the matter ill -all to be determined under the misconduct'rocedures. I- the Regulation 1+ 'rocedure is used& the student 'olice o icershould be given a -air hearing ;i.e. an o''ortunit to comment and 'resentmitigation< under that 'rocedure.

+uspension, restricted or change of duty

2.12 9he decision to sus'end a 'olice o icer ill onl be ta:en here there is anallegation o- misconduct?gross misconduct andH




• %n e ective investigation ma be 're>udiced unless the 'olice o icer issus'endedK or

• 9he 'ublic interest& having regard to the nature o- the allegation and another relevant considerations& re*uires that the 'olice o icer should besus'endedK and

• % tem'orar move to a ne location or role has been considered but is nota''ro'riate in the circumstances.

2.1+ % tem'orar move to a ne location or role must al a s be considered rstas an alternative to sus'ension.

2.1/ Ahile sus'ended under the (onduct Regulations& a 'olice o icer ceases tohold the o ice o- constable and& in the case o- a member o- a 'olice -orce&ceases to be a member o- a 'olice -orce& save -or the 'ur'oses o- misconduct

'roceedings. 9he also remain sub>ect to the 6tandards o- Pro-essionalMehaviour.

2.1 Ahere it is decided that the 'olice o icer ill be sus'ended -rom dut & thisill be ith 'a . 9he rate o- an 'a & including relevant allo ances& ill be thathich the o icer ould be entitled to i- not so sus'ended. 9his is sub>ect to

6chedule 2 to the Police Regulations 200+.

2.14 Paragra'h 1 o- 6chedule 2 to the Police Regulations 200+ 'rovide -or 'a tobe ithheld hen a 'olice o icer ho is sus'endedH 3

;i< is detained in 'ursuance o- a sentence o- a court in a 'rison or otherinstitution to hich the Prison %ct 15 2 a''lies& or is in custod ; hether in'rison or else here< bet een conviction b a court and sentence& or

;ii< has absented him or hersel- -rom dut and hose hereabouts are un:no nto the chie- o icer ;or an assistant chie- o icer acting as chie- o icer< or in thecase o- a senior o icer the local 'olicing bod .

2.17 9he 'olice o icer or his or her 'olice -riend ma ma:e re'resentationsagainst the initial decision to sus'end ; ithin 7 or:ing da s beginning ith the

rst or:ing da a-ter being sus'ended< and at an time during the course o-the sus'ension i- the believe the circumstances have changed and that thesus'ension is no longer a''ro'riate.

2.1" 6us'ension is not a -ormal misconduct outcome and does not suggest an're>udgement.

2.15 9he 'eriod o- sus'ension should be as short as 'ossible and aninvestigation into the conduct o- a sus'ended 'olice o icer should be made a'riorit .

2.20 9he 'olice o icer should be told eCactl h he or she is being sus'ended&or being moved to other duties and this should be con rmed in riting. I-




sus'ension is on 'ublic interest grounds& it should be clearl eC'lained& so -ar as'ossible& hat those grounds are.

2.21 9he use o- sus'ension must be revie ed at least ever / ee:s& and soonerhere -acts have become :no n hich suggest that sus'ension is no longer

a''ro'riate. In cases here the sus'ension has been revie ed and a decisionhas been made to continue that sus'ension& the 'olice o icer must be in-ormedin riting o- the reasons h .

2.22 6us'ension o- non senior o icers must be authorised b a senior o iceralthough the decision can be communicated to the 'olice o icer b ana''ro'riate manager. 9he chie- o icer is res'onsible -or the sus'ension o- %(Pran: o icers ithin his or her -orce and the elected local 'olicing bod isres'onsible -or the sus'ension o- the chie- o icer.

2.2+ In cases here the IP(( are su'ervising& managing or inde'endentlinvestigating a matter& the a''ro'riate authorit ill consult ith the IP((

be-ore ma:ing a decision hether to sus'end or not. It is the a''ro'riateauthorit Js decision hether to sus'end a 'olice o icer or not. 9he a''ro'riateauthorit must also consult the IP(( be-ore ma:ing the decision to allo a'olice o icer to resume his or her duties -ollo ing sus'ension ;unless thesus'ension ends because there ill be no misconduct or s'ecial case'roceedings or because these have concluded< in cases here the IP(( aresu'ervising& managing or inde'endentl investigating a case involving that'olice o icer.

2.2/ In cases here the 2002 %ct a''lies& the investigator ill be res'onsible -orensuring that the a''ro'riate authorit is su''lied ith su icient in-ormation toenable it to e ectivel revie the need -or continuing the sus'ension.

2.2 9he 6tandards o- Pro-essional Mehaviour continue to a''l to 'olice o icersho are sus'ended -rom dut . 9he a''ro'riate authorit can im'ose such

conditions or restrictions on the 'olice o icer concerned as are reasonable inthe circumstances e.g. restricting access to 'olice 'remises or 'olice social-unctions.

2.24 Police o icers ho are sus'ended -rom dut are still allo ed to ta:e theirannual leave entitlement in the normal a hilst so sus'ended& 'roviding thesee: 'ermission -rom the a''ro'riate authorit . 9he a''ro'riate authoritshould not unreasonabl ithhold 'ermission to annual leave. %n annual leavenot ta:en b the 'olice o icer concerned ithin a ear ill still be sub>ect to therules governing the maCimum number o- da s that ma be carried over.

Conducting in!estigations -here there are possi$le or outstanding cri(inalproceedings

2.27 Ahere there are 'ossible or outstanding criminal 'roceedings against a'olice o icer& these ill not normall dela the misconduct 'roceedings. 9he

ill onl dela 'roceedings under the (onduct Regulations here the

a''ro'riate authorit considers such action ould 're>udice the outcome o- thecriminal case. 9he 'resum'tion is that action -or misconduct should be ta:en'rior to& or in 'arallel ith& an criminal 'roceedings. Ahere it is determined




that 're>udice to the outcome o- the criminal case ould result& then thisdecision shall be :e't under regular revie to avoid an unreasonable dela tothe misconduct 'roceedings.

2.2" Ahere 'otential 're>udice is identi ed& the 'roceedings under the(onduct Regulations ill 'roceed as normal u' until the re-erral o- a case tomisconduct 'roceedings or a s'ecial case hearing. 6o the matter ill beinvestigated under the (onduct Regulations or (om'laint Regulations and theinvestigation re'ort submitted. 9he a''ro'riate authorit ill then decide

hether there is a case to ans er in res'ect o- misconduct or gross misconductor neither. Ahere the decision is made that the matter amounts to misconductand that management action is a''ro'riate& then this can be ta:en ithout theneed to re-er the matter to misconduct 'roceedings. In other cases here thereis a case to ans er& no re-erral to misconduct 'roceedings or a s'ecial casehearing ill ta:e 'lace i- this ould 're>udice the criminal 'roceedings.

2.25 %s soon as it a''ears to the a''ro'riate authorit that there is no longer

an 'otential 're>udice ;because& -or eCam'le& a itness is no longer going to becalled& the trial has concluded or an other circumstances change<& thea''ro'riate authorit must ta:e action. Ahere misconduct 'roceedings eredela ed& the a''ro'riate authorit shall ma:e a determination hether tocontinue ith the misconduct 'roceedings. 9his determination ill includeconsideration as to hether the s'ecial conditions eCist -or using the -ast trac:'rocedures ;see %nneC %<.

2.+0 9he a''ro'riate authorit should al a s consider hether in 'roceedingith a misconduct meeting or hearing in advance o- an 'otential criminal trial&

there is a real ris: o- 're>udice to that trial. I- there is an doubt then adviceshould be sought -rom the (ro n Prosecution 6ervice ;(P6< or other'rosecuting authorit .

2.+1 In a case here a itness is to a''ear at a misconduct meeting or hearingand is also a itness or 'otentiall a itness at the criminal trial then thea''ro'riate authorit must rst consult ith the (P6 ;or other 'rosecutingauthorit <. $aving care-ull considered the vie s o- the (P6 the a''ro'riateauthorit must then decide hether it ould 're>udice a criminal trial i- themisconduct meeting or hearing 'roceeds.

2.+2 It is im'ortant to note that a misconduct meeting?hearing is concerned ithhether the 'olice o icer concerned breached the 6tandards o- Pro-essional

Mehaviour and not hether the 'olice o icer has or has not committed acriminal o ence.

2.++ 9he decision as to hen to 'roceed ith a misconduct meeting?hearingrests ith the a''ro'riate authorit . 2.+/ %t the end o- a misconduct meeting?hearing& here there are alsooutstanding or 'ossible criminal 'roceedings involving the 'olice o icerconcerned& the (P6 or other 'rosecuting authorit shall ;as soon as 'racticable<

be in-ormed o- the outcome o- the meeting?hearing.




.isconduct action follo-ing cri(inal proceedings

2.+ 6ub>ect to the guidance above& here misconduct 'roceedings have notbeen ta:en 'rior to criminal 'roceedings and the 'olice o icer is ac*uitted&consideration ill then need to be given as to hether instigating misconduct'roceedings or a s'ecial case hearing is a reasonable eCercise o- discretion inthe light o- the ac*uittal.

2.+4 % 'revious ac*uittal in criminal 'roceedings in res'ect o- an allegationhich is the sub>ect o- misconduct or s'ecial case 'roceedings is a relevant

-actor hich should be ta:en into account in deciding hether to continue iththose 'roceedings.

2.+7 Relevant -actors in deciding hether to 'roceed ith disci'linar or s'ecialcase 'roceedings include the -ollo ing& non3eChaustive& listH

(a) Ahether the allegation is in substance the same as that hich as

determined during criminal 'roceedingsK(b) Ahether the ac*uittal as the result o- a substantive decision on themerits o- the charge ; hether b the >udge or >ur < a-ter the hearing o-evidenceK and

(c) Ahether signi cant -urther evidence is available to the misconductmeeting?hearing& either because it as eCcluded -rom consideration incriminal 'roceedings or because it has become available since.

2.+" )ach case ill -all to be determined on its merits and an overl 3'rescri'tive-ormula should not be ado'ted.

2.+5 It ma -urther be un-air to 'roceed ith misconduct 'roceedings incircumstances here there has been a substantial dela in hearing disci'linaror s'ecial case 'roceedings b virtue o- the 'rior criminal 'roceedings.

2./0 Regard should be had in this res'ect to such -actors asH

• the im'act o- the dela on the 'olice o icer ;including the im'act on hisor her health and career<K

• hether the dela has 're>udiced his or her case in an disci'linar ors'ecial case 'roceedingsK and

•

hether there ill be a -urther substantial dela hilst disci'linar ors'ecial case 'roceedings are heard ;including the im'act on the 'oliceo icer o- that dela <.

Fast trac/ procedures 0special cases1

2./1 !uidance on dealing ith s'ecial cases here the -ast trac: 'rocedures canbe used can be -ound at %nneC %.

2in/ $et-een .isconduct Procedures and co(plaints, conduct (atters and Deathor +erious In3ury cases to -hich the Police Refor( Act )44) 0the )44) Act1 applies




2./2 9he 2002 %ct and the (om'laint Regulations set out ho com'laints&conduct matters and death or serious in>ur ;D6I< matters must be handled. %llother cases are dealt ith solel under the (onduct Regulations.

2./+ 9he 2002 %ct and the (om'laint Regulations also set out the matters thatare re*uired to be re-erred to the Inde'endent Police (om'laints (ommission;IP((<.

Co(plaints 5 2ocal Resolution

2.// 9he 2002 %ct& (om'laint Regulations and IP(( statutor guidance set outhen com'laints are suitable -or =ocal Resolution and these 'rocedures ill

continue to a''l . It ma be a''ro'riate -or a manager to ta:e managementaction as 'art o- locall resolving a com'laint. 9his is 'er-ectl acce'table.$o ever this ill not be considered as -ormal disci'linar action although it

does not 'revent a manager -rom ma:ing a note o- the action ta:en andrecording this on the 'olice o icerJs PDR or e*uivalent ;i- a''ro'riate<. ;6ee'aragra'h 2.54<

Co(plaints 5 In!estigation 2./ Ahere a com'laint about the conduct o- a 'olice o icer or s'ecial constableis not suitable to be locall resolved or -ails& then the matter ill need to beinvestigated under the 'rovisions o- the 2002 %ct and the (om'laintRegulations.

2./4 9he investigation into the com'laint must be 'ro'ortionate having regard tothe nature o- the allegation and an li:el outcome ;see also IP(( statutorguidance<.

2./7 %n investigation into a com'laint is not automaticall an investigation intohether a 'olice o icer or a s'ecial constable has breached the standards o-

'ro-essional behaviour but rather an investigation into the circumstances thatled to the dissatis-action being eC'ressed b the com'lainant o- the actions o-one or more 'ersons serving ith the 'olice.

2./" 9he 2002 %ct and the (om'laint Regulations set ho the investigator shallbe a''ointed to investigate the com'laint and in addition set outH 3

i< Ahen a com'laint is sub>ect o- s'ecial re*uirements ;see 'aragra'h 2./5<K

ii< hen a severit assessment must be madeK

iii< the in-ormation re*uired to be noti ed to the 'olice o icer concernedK

iv< the dut o- the investigator to consider relevant statements and documentsK

v< arrangements -or intervie ing the 'erson hose conduct is beinginvestigatedK and




vi< the matters to be included in the investigation re'ort.

+pecial re uire(ents

2./5 I-& during an investigation into a com'laint& it a''ears to the 'ersoninvestigating that there is an indication that a 'erson to hose conduct theinvestigation relates ma have –

a< committed a criminal o ence& or

b< behaved in a manner hich ould >usti- the bringing o- disci'linar'roceedings& the 'erson investigating ;the investigator< must certi- theinvestigation as one sub>ect to s'ecial re*uirements ;'aragra'h 15% o- 6chedule+ to the 2002 %ct<. (onduct matters& b de nition& are sub>ect to the s'ecialre*uirements.

2. 0 Ahere the 'erson investigating does not consider that the conduct sub>ect

o- the investigation either amounts to a criminal o ence or ;even i- 'roven oradmitted< ould ;in the investigatorJs >udgement< be re-erred to a misconductmeeting or hearing& the matter ill not be sub>ect o- the s'ecial re*uirementsand no Regulation 14 ;(om'laint Regulations< notice ill be served on the 'oliceo icer concerned and no severit assessment ill be re*uired. I- the 'ersoninvestigating the com'laint does certi- the investigation as one sub>ect o-s'ecial re*uirements& the investigator must& as soon as is reasonabl 'racticablea-ter doing so& ma:e a severit assessment in relation to the conduct ;seebelo <.

+e!erity assess(ent

2. 1 9he severit assessment means an assessment as to –

a< hether the conduct o- the 'olice o icer concerned& i- 'roved& ould amountto misconduct or gross misconduct& and

b< i- misconduct& the -orm ;i.e. misconduct meeting or hearing< hichdisci'linar 'roceedings ould be li:el to ta:e i- the conduct ere to becomesub>ect o- such 'roceedings.

2. 2 9he severit assessment ma onl be made a-ter consultation ith thea''ro'riate authorit . 9he investigator shall ensure that a ritten notice is'rovided to the 'olice o icer concerned in-orming him or her that his or herconduct is being investigated unless the 'erson investigating the com'laintconsiders that giving the noti cation might 're>udice –

a< the investigation& or

b< an other investigation ;including& in 'articular& a criminal investigation<.

;6ee 'aragra'h 2.10+ regarding ritten notices<.

2. + 9he ritten notice ma indicate that although the conduct ould amount tomisconduct rather than gross misconduct& the -act that the 'olice o icer




concerned has an outstanding live nal ritten arning ill mean that shouldthe matter 'roceed to misconduct 'roceedings& those 'roceedings ould ta:ethe -orm o- a misconduct hearing.

2. / Ahere the 'erson investigating the com'laint determines that the s'ecialre*uirements are not met ;as there is no indication that the matter amounts to acriminal o ence or the matter ould not >usti- re-erring the matter tomisconduct 'roceedings< then there is no re*uirement -or a severit assessmentand there-ore no re*uirement to serve a ritten notice on the 'olice o icerconcerned.

2. I-& during the course o- the investigation the investigator determines thatthe severit assessment should change due to the initial assessment beingincorrect or ne in-ormation being -ound that a ects the original assessment&then a -resh assessment can be made and the 'olice o icer concerned in-ormedaccordingl . (onsiderable care should be ta:en in ma:ing the severitassessment or revising the assessment in order to avoid an un-airness to the

'olice o icer concerned. %ll decisions in determining or revising the severitassessment should be documented ith reasons -or the decision.

In!estigation of Conduct (atters

2. 4 % conduct matter is de ned in the Police Re-orm %ct 2002 asH 3

an matter hich is not and has not been the sub>ect o- a com'laint but in thecase o- hich there is an indication ; hether -rom the circumstances orother ise< that a 'erson serving ith the 'olice ma have3

a< committed a criminal o enceK or

b< behaved in a manner hich ould >usti- the bringing o- disci'linar'roceedingsJ.

2. 7 Paragra'hs 10 and 11 o- 6chedule + to the 2002 %ct and regulation 7 o- the(om'laint Regulations set out the conduct matters that are re*uired to berecorded b the a''ro'riate authorit ;recordable conduct matters<.

2. " Paragra'h 1+ o- 6chedule + to the 2002 %ct and regulation 7 ;/< o- the(om'laint Regulations set out the categories o- recordable conduct matters thatare re*uired to be re-erred to the IP((.

2. 5 (onduct matters that are not re*uired to be recorded or re-erred to theIP(( ma be dealt ith b the a''ro'riate authorit . Ahere the a''ro'riateauthorit determines that these conduct matters should be investigated& thenthis ill be conducted under the 'rovisions o- the (onduct Regulations.

2.40 Recordable conduct matters are sub>ect to the s'ecial re*uirementsmentioned at 'aragra'h 2./5 above and there-ore the 'erson investigating thematter ill be re*uired to underta:e a severit assessment ;see 'aragra'hs 2. 1

to 2. above< and com'l ith the s'ecial re*uirements.




In!estigation report follo-ing co(plaint 0su$3ect of specialre uire(ents16recorda$le conduct (atter in!estigations*

2.41 %t the conclusion o- an investigation into a com'laint here the matter hasbeen sub>ect to the s'ecial re*uirements or constitutes a recordable conductmatter& the investigator& in addition to setting out his or her conclusions on the-acts o- the matter& ill indicate hether he or she determines on the -acts o-the case that there is a case to ans er in res'ect o- misconduct or grossmisconduct or that there is no case to ans er. 9he investigator ma alsodetermine that the -acts o- the case indicate that there is a case to ans er inres'ect o- unsatis-actor 'er-ormance.

2.42 9he action that an a''ro'riate authorit 'ro'oses or does not 'ro'ose tota:e in res'onse to an investigation o- a com'laint ma be sub>ect to an a''ealb a com'lainant. 9he IP(( has the 'o er in certain cases to recommend anddirect that 'articular misconduct 'roceedings or unsatis-actor 'er-ormance'roceedings are held in res'ect o- com'laint and recordable conduct

investigations ;see -urther 'aragra'h 2.1 0<.Referring a (atter to (isconduct proceedings follo-ing in!estigation of aco(plaint 0su$3ect of special re uire(ents1 or a recorda$le conduct (atter*

2.4+ Ahere& -ollo ing the investigation into a com'laint sub>ect to the s'ecialre*uirements or a recordable conduct matter& it is determined that there is acase to ans er in res'ect o- misconduct or gross misconduct then thea''ro'riate authorit ill determine hether the matter should be re-erred to amisconduct meeting or hearing. 9his decision should be made as *uic:l as'ossible.

2.4/ Ahere the a''ro'riate authorit determines that there is a case to ans erin res'ect o- misconduct but not gross misconduct it ma determine thatmanagement action is an a''ro'riate and 'ro'ortionate res'onse to themisconduct.

2.4 Ahere it is determined that there is a case to ans er in res'ect o-misconduct and management action is not a''ro'riate& the a''ro'riateauthorit shall re-er the matter to a misconduct meeting ;unless the 'oliceo icer concerned has an outstanding nal ritten arning hich as live henthe severit assessment as made& in hich case the matter ill be re-erred to amisconduct hearing<.

2.44 In cases here there is a case to ans er in res'ect o- gross misconductthen the matter shall be re-erred to a misconduct hearing ;or i- the s'ecialconditions are satis ed a s'ecial case ;-ast trac:< hearing<. 6ee de nition o-!ross misconduct at 'aragra'h 2."0 and 2."0% belo .

2.47 Re-erral to misconduct 'roceedings and the 'rocedures to be -ollo edtherea-ter are made under Part / ;and Part i- a''ro'riate< o- the (onductRegulations ;regulation 15 on ards<.

Death or +erious In3ury (atters 0D+I1




2.4" Ahere there is an investigation into a death or serious in>ur case ;D6I<&here there is no com'laint or indication o- an conduct matter& then the

investigation ill -ocus on the circumstances o- the incident ;see also IP((statutor guidance<.

2.45 $o ever& here during the course o- the investigation into the D6I matterthere is an indication that a 'erson serving ith the 'olice ma have committeda criminal o ence or behaved in a manner that ould >usti- the bringing o-disci'linar 'roceedings then the D6I matter ill be reclassi ed as a recordableconduct matter ;or com'laint i- a''ro'riate< and dealt ith accordingl .

.isconduct Procedures

Assess(ent of conduct 5 0Is the case one of (isconduct71

2.70 Ahere an allegation is made against the conduct o- a 'olice o icer or

s'ecial constable& being a matter that does not involve a com'laint& a recordableconduct matter or a death or serious in>ur ;see 'aragra'h 2./2 above<& thematter ill be dealt ith under the (onduct Regulations -rom the outset.$o ever& in the same a as described in 'aragra'h 2. 1 above& thea''ro'riate authorit must -ormall assess hether the conduct alleged& i-'roved& ould amount to misconduct or gross misconduct.

2.71 9he assessment ma determine that the conduct alleged amounts to anallegation o- unsatis-actor 'er-ormance rather than one o- misconduct. In suchcircumstances the matter should be re-erred to be dealt ith under the ,PPs.;6ee cha'ter +<.

2.72 9he assessment ma determine that the matter is more suitable to be dealtith through the grievance 'rocedure. In such cases the 'rocedures -or dealingith such matters should be used.

2.7+ 9he 'ur'ose o- the initial assessment is toH

• )nsure a timel res'onse to an allegation or an issue relating to conduct

• Identi- the 'olice o icer sub>ect to the allegation and to eliminate those

not involved.• )nsure that the most a''ro'riate 'rocedures are used.

2.7/ 9he assessment should be made b the a''ro'riate authorit ;seedelegation o- authorit in the Introduction section and glossar de nition<. 9he'erson ma:ing the assessment should al a s consider consulting thePro-essional 6tandards De'artment ;P6D< or $uman Resources De'artment -orassistance.

2.7 I- it is not 'ossible to ma:e an immediate assessment a 'rocess o- -actnding should be conducted but onl to the eCtent that it is necessar to

determine hich 'rocedure should be used. It is 'er-ectl acce'table to as:*uestions to see: to establish hich 'olice o icers ma have been involved in a




'articular incident and there-ore to eliminate those 'olice o icers ho are notinvolved.

2.74 % -ormal investigation into a 'articular 'olice o icerJs conduct a ords the'olice o icer certain sa-eguards in the interests o- -airness such as the serviceo- a notice in-orming the 'olice o icer that his or her conduct is sub>ect toinvestigation and noti- ing the 'olice o icer o- his or her right to consult ith a'olice -riend. 9he initial assessment and in 'articular -act nding shouldthere-ore not go so -ar as to undermine these sa-eguards.

2.77 )ven i- the 'erson ma:ing the assessment has decided that the matter isnot 'otentiall one o- misconduct he or she should consider hether there arean develo'mental or organisational issues hich ma need to be addressed bthe individual ;e.g. through management action< or the organisation.

De%nitions

2.7" #or the 'ur'oses o- ma:ing the assessment and an decision on theseriousness o- the conduct the -ollo ing de nitions ill be a''liedH3

Misconduct

2.75 8isconduct is a breach o- the 6tandards o- Pro-essional Mehaviour ;seecha'ter 1<.

Gross Misconduct

2."0 !ross misconduct means a breach o- the 6tandards o- Pro-essionalMehaviour so serious that dismissal ould be >usti ed.

2."0% 9here-ore& -or a matter to be assessed as gross misconduct& the 'ersonma:ing the assessment needs to be satis ed that dismissal ould be >usti ed i-the conduct alleged as 'roven or admitted& having regard to all thecircumstances o- the case. I- he or she is not so satis ed then the matter shouldbe assessed as misconduct rather than gross misconduct.

Unsatisfactory Performance/Attendance

2."1 ,nsatis-actor 'er-ormance or unsatis-actor attendance mean an inabilitor -ailure o- a 'olice o icer to 'er-orm the duties o- the role or ran: he or she iscurrentl underta:ing to a satis-actor standard or level ;see cha'ter +<.

+e!erity assess(ent 5 Is the (atter potentially (isconduct or gross (isconduct7

2."2 9he 'ur'ose o- assessing hether a matter is 'otentiall misconduct orgross misconduct is toH

• %llo the 'olice o icer sub>ect to the misconduct 'rocedures to have anearl indication o- the 'ossible outcome i- the allegation is 'roven or

admitted.




• !ive an indication o- ho the matter should be handled ;-or eCam'le&locall or b the -orce Pro-essional 6tandards De'artment<.

2."+ Ahere an allegation is made hich indicates that the conduct o- a 'oliceo icer did not meet the standards set out in the 6tandards o- Pro-essionalMehaviour& the a''ro'riate authorit must decide hether& i- 'roven or

admitted& the allegation ould amount to misconduct or gross misconduct.2."/ Ahere it is determined that the conduct& i- 'roved& ould constitutemisconduct& it must -urther be determined hether it is necessar -or the matterto be investigated or hether management action is the a''ro'riate and'ro'ortionate res'onse to the allegation. I- the a''ro'riate authorit decides tota:e no action or management action& this should be noti ed to the 'olice o icerconcerned.

2." Ahere it is determined that the conduct i- 'roved& ould constitute grossmisconduct ;see 'aragra'h 2."0 and 2."0%< then the matter ill be investigated

;unless the assessment is subse*uentl changed to misconduct in hich case& i-a''ro'riate& no -urther investigation ma be re*uired<.

2."4 9he assessment ill also determine hether& i- the matter as re-erred tomisconduct 'roceedings& those 'roceedings ould be li:el to be a misconductmeeting ;-or cases o- misconduct< or a misconduct hearing ;-or cases o- grossmisconduct or i- the 'olice o icer concerned has a live nal ritten arning atthe time o- the assessment and there is a -urther allegation o- misconduct<.

2."7 I- the initial assessment has been made incorrectl or i- ne evidenceemerges& then a -resh assessment can be made. 9he matter ma be moved u' toa level o- gross misconduct or do n to a level o- misconduct. In the interests o--airness to the 'olice o icer& here a -urther severit assessment is made hichalters the original assessment then the 'olice o icer ill be in-ormed and ill be'rovided ith the reasons -or the change in the assessment. Particular caremust be ta:en here a matter as initiall assessed as being misconduct andconsideration is being given to reassess the matter as gross misconduct. 9his

ill generall onl be a''ro'riate here signi cant ne evidence has emergedsince the original assessment. 2."" 9he same 'rinci'le a''lies here the initial assessment suggests that the

matter is one o- misconduct or gross misconduct but subse*uent investigationreveals that it is not& and ma be& -or eCam'le& one o- unsatis-actor'er-ormance. In such cases the 'olice o icer ill be in-ormed that the matter isno not being considered as a matter o- misconduct.

Dealing -ith (isconduct

2."5 ,nless there are good reasons to ta:e no action& there are t o a s bhich line managers can deal ith matters hich have been assessed as

'otential misconductH

• 8anagement action




• Disci'linar action -or misconduct – here it is -elt that the matter shouldbe investigated

2.50 % decision on hich action ill be a''ro'riate ill be made on the basis o-the in-ormation available -ollo ing the severit assessment.

.anage(ent action

2.51 9he 'ur'ose o- management action is toH

• Deal ith misconduct in a timel & 'ro'ortionate and e ective a that illcommand the con dence o- sta & 'olice o icers& the 'olice service and the'ublic.

• Identi- an underl ing causes or el-are considerations.

• Im'rove conduct and to 'revent a similar situation arising in the -uture.

2.52 Ahen a''ro'riate& managers in the 'olice service are eC'ected andencouraged to intervene at the earliest o''ortunit to 'revent misconductoccurring and to deal ith cases o- misconduct in a 'ro'ortionate and timel

a through management action. )ven i- the 'olice o icer does not agree to themanagement action it can still be im'osed b the manager 'roviding such actionis reasonable and 'ro'ortionate.

2.5+ 8anagement action ma includeH

•

Pointing out ho the behaviour -ell short o- the eC'ectations set out in the6tandards o- Pro-essional Mehaviour

• Identi- ing eC'ectations -or -uture conduct.

• )stablishing an im'rovement 'lan.

• %ddressing an underl ing causes o- misconduct.

2.5/ 9he 'olice o icer ma in some cases be advised that an -uture misconducteven i- it is o- the same t 'e& could be dealt ith b disci'linar action ratherthan management action.

2.5 9he manager ma dra-t an im'rovement 'lan ith the 'olice o icer. 9hisshould include timescales -or im'rovement in the conduct. % ritten recordshould be made o- an im'rovement action and 'laced on the 'olice o icerJsPDR or e*uivalent. %n such note should be agreed as an accurate record iththe 'olice o icer concerned and co'ied to him or her. Ahere the 'olice o icerdoes not agree ith the record then his or her comments ill be recorded and:e't ith the record. 8anagers should ensure that an im'rovement 'lanrecorded on the 'olice o icerJs PDR ;or e*uivalent< is regularl revie ed and

comment made as to the im'rovement or other ise o- the 'olice o icer.2.54 8anagement action is not a disci'linar outcome but is considered to be'art o- the normal managerial res'onsibilit o- managers in the 'olice service.




8anagement action is al a s available& including during or a-ter the 'rocess o-resolving a com'laint using =ocal Resolution. 8anagement action does not haveto be revealed to the (P6 as it does not constitute a disci'linar outcome.

2.57 Ahere an a''ro'riate manager decides at the severit assessment thatmanagement action is the most a''ro'riate and 'ro'ortionate a to deal ithan issue o- misconduct& there ill be no re*uirement to conduct a -ormalinvestigation and there-ore no re*uirement to give a ritten notice to the 'oliceo icer concerned in accordance ith the 'rovisions in the (onduct Regulations.Ahere at a later stage& either -ollo ing the investigation or on ithdra al o- thecase ;under regulation 20 o- the (onduct Regulations or Regulation 10 o- the(om'laint Regulations<& an a''ro'riate manager decides to ta:e managementaction& ritten notice o- this ill be given to the 'olice o icer as soon as'ossible.

2.5" 8anagement action is not to be con-used ith management advice.8anagement advice is a disci'linar outcome that can onl be im'osed

-ollo ing a misconduct meeting or hearing.

Ta/ing further disciplinary proceedings

2.55 Ahere it is -elt that management action is not a''ro'riate to deal ith thealleged breach o- the 6tandards o- Pro-essional Mehaviour then an investigationinto the alleged misconduct ma be necessar . Ahere in cases o- 'otentialmisconduct& management action is not considered a''ro'riate& there ill be aninvestigation under the (onduct Regulations and in cases here the allegationamounts to one o- gross misconduct& then the matter ill al a s beinvestigated.

2.100 9he 'ur'ose o- ta:ing -urther disci'linar 'roceedings is toH

• )stablish the -acts underl ing the allegation.

• Deal ith cases o- misconduct in a timel & 'ro'ortionate& -air and e ectivea such as ill command the con dence o- the 'olice service and the

'ublic.

• Identi- an underl ing causes or el-are considerations.

• Identi- an learning o''ortunities -or the individual or the organisation.

2.101 %he #uidance set out a ove deals ith the re uire!ents forseverit assess!ents to e conducted in cases to hich the 2002 "ctapplies and those cases dealt ith under the Conduct e#ulations.

2.102 %he follo in# provisions appl to oth t pes of cases ith there uire!ents set out in either the Co!plaint e#ulations for cases ein#dealt ith under the 2002 "ct or the Conduct e#ulations for othercases. Once cases have een referred to !isconduct proceedin#s5 in allcases5 the relevant re#ulations are the Conduct e#ulations 6 e#ulation1/ on ards7.




8ritten noti%cation to o cer concerned

2.10+ Aritten noti cation ill be given to the 'olice o icer concerned b theinvestigator a''ointed to investigate the case& advising him or her that his orher conduct is under investigation – either under Regulation 1 o- the (onductRegulations or under Regulation 14 o- the (om'laint Regulations ;in the case o-com'laints sub>ect to s'ecial re*uirements ;see 'aragra'h 2./5< and recordableconduct investigations<. ;% standard notice tem'late is -ound at %nneC )< 9henotice illH

• In-orm the 'olice o icer that there is to be an investigation o- his or her'otential breach o- the 6tandards o- Pro-essional Mehaviour and in-ormthe 'olice o icer o- the name o- the investigator ho ill investigate thematter.

• Describe the conduct that is the sub>ect o- the investigation and ho thatconduct is alleged to have -allen belo the 6tandards o- Pro-essionalMehaviour

• In-orm the 'olice o icer concerned o- the a''ro'riate authorit Js ;orinvestigatorJs in a matter dealt ith under the 2002 %ct< assessment o-

hether the conduct alleged& i- 'roved& ould amount to misconduct orgross misconduct

• In-orm the 'olice o icer o- hether& i- the case ere to be re-erred tomisconduct 'roceedings& those ould be li:el to be a misconductmeeting or misconduct hearing

• In-orm the 'olice o icer that i- the li:el -orm o- an misconduct'roceedings changes the 'olice o icer ill be noti ed o- this together iththe reasons -or that change

• In-orm the 'olice o icer o- his or her right to see: advice -rom his or hersta association or an other bod and ho the 'olice o icer ma chooseto act as his or her 'olice -riend.

• In-orm the 'olice o icer that i- his or her case is re-erred to a misconducthearing or s'ecial case hearing& he or she has the right to be legallre'resented b a relevant la er. I- the 'olice o icer elects not to be sore'resented then he or she ma be re'resented b a 'olice -riend. 9henotice ill also ma:e clear that i- he or she elects not to be legallre'resented then he or she ma be dismissed or receive an otherdisci'linar outcome ithout being so re'resented.

• In-orm the 'olice o icer that he or she ma 'rovide& ithin 10 or:ingda s o- recei't o- the notice ;unless this 'eriod is eCtended b theinvestigator< a ritten or oral statement relating to an matter underinvestigation and he or she ;or his or her 'olice -riend< ma 'rovide an

relevant documents to the investigator ithin this time.




• In-orm the 'olice o icer that hilst he or she does not have to saan thing& it ma harm his or her case i- he or she does not mention henintervie ed or hen 'roviding an in-ormation ithin the relevant timelimits something hich he or she later relies on in an misconduct'roceedings or s'ecial case hearing or at an a''eal meeting or Police

%''eals 9ribunal.

2.10/ 9he notice should clearl describe in unambiguous language the'articulars o- the conduct that it is alleged -ell belo the standards eC'ected o-a 'olice o icer.

2.10 9he terms o- re-erence -or the investigation& or the 'art o- the terms o-re-erence -or the investigation relating to the individualJs conduct& should&sub>ect to there being no 're>udice to that or an other investigation& besu''lied to the 'olice o icer and to his or her 'olice -riend on re*uest& and theshould both be in-ormed i- the terms o- re-erence change.

2.104 9he ritten noti cation ma be 'rovided to a manager ;including b email< to give to the 'olice o icer concerned or here a''ro'riate and ith theagreement o- the 'olice -riend the notice ma be given to the 'olice -riend togive to the 'olice o icer concerned. In both cases the notice must be given tothe 'olice o icer in 'erson. %lternativel & the notice can be 'osted b recordeddeliver to his or her last :no n address. 9he res'onsibilit -or ensuring thatthe notice is served rests ith the investigator ;in cases dealt ith under the2002 %ct< or the a''ro'riate authorit . ;In both cases it is the investigator homust cause the o icer concerned to be given the ritten notice. 9here-ore

hilst the a''ro'riate authorit ma do it& the res'onsibilit -or ensuring thatthe notice is served rests ith the investigator<.

2.107 9he investigator should ensure that the 'olice o icer sub>ect toinvestigation shall& as soon as 'racticable& be 'rovided ith this rittennoti cation unless to do so ould 're>udice the investigation or an otherinvestigation ;including a criminal one<. %n decision not to in-orm the 'oliceo icer ill be recorded and :e't under regular revie in order to avoidunreasonable dela in noti- ing the 'olice o icer concerned.

2.10" Ahere the IP(( is conducting an inde'endent or managed investigationthen the res'onsibilit -or ensuring that the 'olice o icer is 'rovided ith the

ritten noti cation ;as soon as 'racticable< rests ith the investigator a''ointedor designated to conduct that investigation.

2.105 In the interests o- -airness& care must be ta:en hen an incident is beinginvestigated to ensure that the noti cation is given to the 'olice o icer as soonas 'racticable a-ter an investigator is a''ointed. ;sub>ect to an 're>udice tothat or an other investigation<.

Appoint(ent of in!estigator

2.110 Ahere the a''ro'riate authorit has assessed the allegation as being one

o- misconduct or gross misconduct and in the case o- misconduct& hasdetermined that the matter is not suitable -or immediate management actionthen the a''ro'riate authorit ill a''oint an investigator. In cases being dealt




ith under the (onduct Regulations the investigator can be a 'olice o icer&'olice sta member or some other 'erson and should be the most a''ro'riate'erson having regard to all o- the circumstances and the re*uirements set out inregulation 1+ o- the (onduct Regulations.

2.111 In cases -alling under 'aragra'hs 17 or 1" o- 6chedule + to the PoliceRe-orm %ct 2002 the a''ro'riate authorit must -ollo the a''ro'riate'rovisions regarding the a''roval o- the investigator b the IP((. 9hea''ro'riate authorit ill also need to ensure that an investigator a''ointedunder 'aragra'hs 14& 17 or 1" o- the 2002 %ct has the necessar s:ills andeC'erience as set out in regulation 2/ o- the (om'laint Regulations ;6ee IP((6tatutor !uidance<. (ases -alling under 'aragra'h 15 o- 6chedule + shall beinvestigated b the (ommissionJs o n sta sub>ect to the 6ecretar o- 6tatehaving the 'o er to nominate that 'erson in the circumstances set out in'aragra'h 15;+< and ;+%< o- that 6chedule.

2.112 9he -orce Pro-essional 6tandards De'artment should be consulted be-ore

an investigation is commenced to ensure that there are no other matters thatneed to be considered 'rior to an investigation ;-or eCam'le otherinvestigations that ma be ongoing into the conduct o- the 'olice o icerconcerned& or outstanding ritten arnings that are still live<.

In!estigation

2. 11+ 9he 'ur'ose o- an investigation is toH

• !ather evidence to establish the -acts and circumstances o- the allegedmisconduct

• %ssist the a''ro'riate authorit to establish on the balance o-'robabilities& based on the evidence and ta:ing into account all o- thecircumstances& hether there is a case to ans er in res'ect o- eithermisconduct or gross misconduct or that there is no case to ans er.

• Identi- an learning -or the individual or the organisation.

2.11/ In cases hich are not being managed or dealt ith b the IP((& thea''ro'riate authorit should ensure that a 'ro'ortionate and balanced

investigation is carried out as soon as 'ossible a-ter an alleged misconductcomes to the a''ro'riate authorit Js attention and that the investigation iscarried out as *uic:l as 'ossible allo ing -or the com'leCit o- the case. %-re*uent criticism o- misconduct investigations at one time as that the erelength & dis'ro'ortionate and not al a s -ocussed on the relevant issue;s<.It isthere-ore crucial that an investigation is :e't 'ro'ortionate to ensure that anoverl length investigation does not lead to grounds -or challenge. Ahere theinvestigation identi es that the issue is one o- 'er-ormance rather thanmisconduct& the 'olice o icer should be in-ormed as soon as 'ossible that thematter is no being treated as an issue o- 'er-ormance.

2.11 In cases hich do not -all under the 2002 %ct& the a''ro'riate authoritcan discontinue an investigation i- there is a change in circumstances hichma:es it a''ro'riate to do so. 6imilarl & in cases hich do -all under the 2002




%ct& the a''ro'riate authorit can a''l to the IP(( to discontinue aninvestigation ;see 'aragra'h 21 o- 6chedule + to the 2002 %ct& regulation 10 o-the (om'laint Regulations and the IP(( statutor guidance<.

2.114 9he investigator must ensure that the 'olice o icer is :e't in-ormed o- the'rogress o- the investigation. It is also good 'ractice to :ee' the 'olice -riendin-ormed o- 'rogress at the same time. 9he investigator is re*uired to noti- the'olice o icer o- the 'rogress o- the investigation at least ever / ee:s -rom thestart o- the investigation. 9he re*uirement under the Police Re-orm %ct 2002 to:ee' the com'lainant or an interested 'erson in-ormed ill also a''l inrelevant cases ;6ee Regulation 12 o- the (om'laint Regulations and the IP((6tatutor !uidance<.

2.117 9he 'olice o icer or his or her 'olice -riend& acting on the 'olice o icerconcernedJs instructions& is encouraged to suggest at an earl stage an line o-en*uir that ould assist the investigation and to 'ass to the investigator anmaterial the consider relevant to the en*uir . ;6ee regulation 14 o- the (onduct

Regulations and 'aragra'h 15( o- 6chedule + to the 2002 %ct and Regulation 1"o- the (om'laint Regulations<.

2.11" 9he investigator ;under the (onduct Regulations or the 2002 %ct< has adut to consider the suggestions submitted to him or her. 9he investigatorshould consider and document reasons -or -ollo ing or not -ollo ing ansubmissions made b the 'olice o icer or his or her 'olice -riend ith a vie toensuring that the investigation is as -air as 'ossible. 9he suggestions mainvolve a -urther suggested line o- investigation or -urther eCamination o- a'articular itness. 9he 'ur'ose is to enable a -air and balanced investigationre'ort to be 're'ared and here a''ro'riate made available -or considerationat a misconduct meeting?hearing and to negate the need ;eCce't herenecessar < -or itnesses to attend a meeting?hearing.

Inter!ie-s during in!estigation

2.115 It ill not al a s be necessar to conduct a -ormal intervie ith the'olice o icer sub>ect to the investigation. In some cases& 'articularl involvinglo level misconduct cases& it ma be more a''ro'riate& 'ro'ortionate andtimel to re*uest a ritten account -rom the 'olice o icer.

2.120 Ahere a -ormal intervie is -elt to be necessar & the investigator shouldtr and agree a time and date -or the intervie ith the 'olice o icer concernedand his or her 'olice -riend i- a''ro'riate. 9he 'olice o icer ill be given

ritten notice o- the date& time and 'lace o- the intervie . 9he 'olice o icermust attend the intervie hen re*uired to do so and it ma be a -urthermisconduct matter to -ail to attend.

2.121 I- the 'olice o icer concerned or his or her 'olice -riend is not available atthe date or time s'eci ed b the investigator& the 'olice o icer ma 'ro'ose analternative time. Provided that the alternative time is reasonable and -alls ithina 'eriod o- or:ing da s beginning ith the rst or:ing da a-ter that

'ro'osed b the investigator the intervie must be 'ost'oned to that time.




2.122 Ahere a 'olice o icer is on certi cated sic: leave& the investigator shouldsee: to establish hen the 'olice o icer ill be t -or intervie . It ma be thatthe 'olice o icer is not t -or ordinar 'olice dut but is 'er-ectl ca'able o-being intervie ed. %lternativel the 'olice o icer concerned ma be invited to'rovide a ritten res'onse to the allegations ithin a s'eci ed 'eriod and mabe sent the *uestions that the investigator ishes to be ans ered.

2.12+ It is im'ortant that there is a balance bet een the el-are o- the 'oliceo icer concerned and the need -or the investigation to 'rogress as *uic:l as'ossible in the interests o- >ustice& the 'olice service and the 'olice o icersub>ect to investigation.

2.12/ Ahere a 'olice o icer is alleged or a''ears to have committed a criminalo ence a normal criminal investigation ill ta:e 'lace& ith the 'olice o icerbeing cautioned in accordance ith the P%() (ode o- Practice. Ahere thematter to be investigated involves both criminal and misconduct allegations& itshould be made clear to the 'olice o icer concerned at the start o- the intervie

hether he or she is being intervie ed in res'ect o- the criminal or misconductallegations.

2.12 9his ma be achieved b conducting t o se'arate intervie s& althoughthis does not 'revent the res'onses given in res'ect o- the criminal interviebeing used in the misconduct investigation and there-ore a se'arate misconductintervie ma not be re*uired.

2.124 (are should be ta:en hen conducting a misconduct intervie here the'olice o icer is also sub>ect o- a criminal investigation in res'ect o- the samebehaviour& as an thing said b the 'olice o icer concerned in the misconductintervie hen not under caution and used in the criminal investigation couldbe sub>ect to an inadmissibilit ruling b the court at an subse*uent trial. I- necessar & a''ro'riate legal advice should be obtained.

2.127 %t the beginning o- a misconduct intervie or hen as:ing a 'olice o icerto 'rovide a ritten res'onse to an allegation& the 'olice o icer shall bereminded o- the arning contained in regulation 1 ;1<;h< o- the (onductRegulations ;or regulation 14;1<;h< o- the (om'laint Regulations -or cases dealt

ith under the 2002 %ct< namel in-orming the 'olice o icer that hilst he orshe does not have to sa an thing it ma harm his or her case i- he or she doesnot mention hen intervie ed or 'roviding a ritten res'onse something hichhe or she later relies on in an misconduct 'roceedings or s'ecial case hearingor a''eal meeting or a''eal hearing.

2.12" Prior to an intervie ith a 'olice o icer ho is the sub>ect o- amisconduct investigation& the investigator must ensure that the 'olice o icer is'rovided ith su icient in-ormation and time to 're'are -or the intervie . 9hein-ormation 'rovided should al a s include -ull details o- the allegations madeagainst the 'olice o icer including the relevant date;s< and 'lace;s< o- thealleged misconduct ;i- :no n<. 9he investigator should consider hether thereare good reasons -or ithholding certain evidence obtained 'rior to the

intervie and i- there are no such reasons then the 'olice o icer shouldnormall be 'rovided ith all the relevant evidence obtained. 9he 'olice o icerill then have the o''ortunit to 'rovide his or her version o- the events




together ith an su''orting evidence he or she ma ish to 'rovide. 9he 'oliceo icer ill be reminded that -ailure to 'rovide an account or res'onse to an*uestions at this stage o- the investigation ma lead to an adverse in-erencebeing dra n at a later stage.

2.125 Intervie s do not have to be electronicall recorded but i- the are thenthe 'erson being intervie ed shall be given a co' u'on re*uest. I- theintervie is not electronicall recorded then a ritten record or summar o- thediscussion must be given to the 'erson being intervie ed. 9he 'olice o icerconcerned should be given the o''ortunit to chec: and sign that he or sheagrees ith the summar as an accurate record o- hat as said and shouldsign and return a co' to the investigator. Ahere a 'olice o icer re-uses or -ailsto eCercise his or her right to agree and sign a co' then this ill be noted bthe investigator. 9he 'olice o icer ma ma:e a note o- the changes he or she

ants to ma:e to the record and a co' o- this ill be given to the 'erson;s<conducting the hearing?meeting along ith the investigatorJs account o- therecord.

2.1+0 ther than -or a >oint criminal?misconduct investigation intervie itill not be necessar -or criminal st le itness statements to be ta:en. In

misconduct investigations an agreed and signed ritten record o- thein-ormation su''lied ill be su icient.

.o!ing $et-een .isconduct and "PP

2.1+1 It ma not be a''arent at the outset o- an investigation hether thematter is one o- misconduct or unsatis-actor 'er-ormance or attendance. Itshould be established as soon as 'ossible hich 'rocedure is the morea''ro'riate. In some cases it ma be that it is not clear hich 'rocedure shouldbe used until there has been some investigation o- the matter.

2.1+2 %ssessing a matter as misconduct or a matter o- 'er-ormance orattendance is an im'ortant distinction to ma:e. It is normall 'ossible todistinguish bet een matters o- unsatis-actor 'er-ormance or attendance b a'articular 'olice o icer and that o- 'ersonal misconduct.

2.1++ % matter that a''ears initiall to relate to misconduct ma & oninvestigation& turn out to be a matter relating to unsatis-actor 'er-ormance orattendance and should be trans-erred to the unsatis-actor 'er-ormance'rocedure ;,PP<& i- a''ro'riate& at the earliest o''ortunit . 9his can be done atan time be-ore a misconduct meeting or hearing& in relation to a matter notdealt ith under the 2002 %ct& b ithdra ing the case against the 'olice o icerconcerned under regulation 20 o- the (onduct Regulations and re-erring thematter to be dealt ith under the ,PPs. 9he 'olice o icer concerned shall bein-ormed that the matter is no longer being investigated as a misconduct case.

2.1+/ It ma be that the outcome o- an investigation into an allegation is that anissue o- unsatis-actor 'er-ormance or attendance has been identi ed againstone or more 'olice o icers ho ere the sub>ect o- the investigation rather than

an issue o- misconduct. In such cases the outcome o- the allegation ma be thatthe a''ro'riate authorit ill determine that there is no case to ans er inres'ect o- misconduct or gross misconduct but it ma be a''ro'riate to ta:e




action under the ,PPs in order that the 'olice o icer concerned ma learn andim'rove his or her 'er-ormance.

2.1+ 9here ma be ver rare occasions hen the matter 'roceeds under themisconduct 'rocedure to a misconduct meeting or hearing and the 'erson;s<conducting the 'roceedings nd that the conduct o- the 'olice o icer amountsto unsatis-actor 'er-ormance or attendance as o''osed to one o- misconduct.In such cases& a nding on the -acts o- the case b the 'erson;s< conducting themeeting or hearing can be used -or the 'ur'oses o- the ,PPs. 9he 'erson;s<conducting the meeting?hearing should in such cases ma:e a nding that theconduct did not amount to misconduct and re-er the matter to the a''ro'riateauthorit .

2.1+4 9he a''ro'riate authorit in such cases should then decide i- ta:ingaction against the 'olice o icer concerned using the ,PPs is a -air andreasonable eCercise o- discretion ta:ing into account all o- the circumstances o-the case and in 'articular the same 'rinci'les set out at 'aragra'hs 2.+5 and

2./0.

2.1+7 8aterial gathered under the ,PP should not be used -or the 'ur'oses o-the misconduct 'rocedure i- this means that the sa-eguards -or 'olice o icers'rovided in the misconduct 'rocedure& such as 'rovision -or -ormal noti cation&are thereb undermined.

In!estigation report and supporting docu(ents

2.1+" %t the conclusion o- the investigation the investigator must as soon as'racticable submit his or her re'ort o- the investigation. 9he re'ort should bestructured so that it sets out an accurate summar o- the evidence that has beengathered ;regulation 1" o- the (onduct Regulations or regulation 20 o- the(om'laint Regulations< and attaches or re-ers to an relevant documents.#inall it ill indicate the investigatorJs o'inion as to hether there is a case toans er in res'ect o- misconduct or gross misconduct or hether there is nocase to ans er. 9his o'inion and an other statement o- o'inion or otherirrelevant 're>udicial material ill be removed -rom the re'ort be-ore the re'ortis 'rovided to the 'erson;s< hearing the case at a misconduct meeting or hearing;i- the matter is re-erred to 'roceedings<.

2.1+5 In cases here the investigation as conducted under 'aragra'hs& 14;local<& 17 ;su'ervised<& 1" ;managed< or 15 ;inde'endent< o- 6chedule + to the2002 %ct then the investigator ill submit his or her re'ort ithrecommendations in accordance ith 'aragra'h 22 o- schedule + to the 2002

%ct.

2.1/0 9he a''ro'riate authorit shall ma:e a decision based on the re'ort. 9hea''ro'riate authorit shall determine hether there is a case to ans er inres'ect o- misconduct or gross misconduct or that there is no case o-misconduct to ans er ;regulation 15 o- the (onduct Regulations<.

2.1/1 I- it is decided that there is no case o- misconduct to ans er thenmanagement action ma still be a''ro'riate. In matters involving a com'laint&here the com'laint as sub>ect to a local or su'ervised investigation under the




2002 %ct& the decision o- the a''ro'riate authorit ma be sub>ect to an a''ealb the com'lainant ;see IP(( 6tatutor !uidance<. 6imilarl in cases here aninvestigation into a com'laint& recordable conduct matter or death or seriousin>ur matter has been conducted under 'aragra'h 1" ;managed< or 15;inde'endent< o- 6chedule + to the 2002 %ct& the IP(( has the 'o er to ma:erecommendations and give directions as to hether there is a case to ans er.

2.1/2 I- no -urther action is to be ta:en then it is good 'ractice that theinvestigation re'ort or 'art o- the investigation re'ort that is relevant to the'olice o icer should be given& sub>ect to the harm test& to the 'olice o icer onre*uest.

2.1/+ 9he investigation re'ort ill also highlight an learning o''ortunities -oreither an individual or the organisation.

Action prior to (isconduct (eetings6hearings

2.1// In cases here it is decided that there is a misconduct case to ans er& thea''ro'riate authorit ill need to determine hether the matter can be dealtith b means o- immediate management action ithout the need to re-er the

case to a misconduct meeting. 9his ill be 'articularl a''ro'riate in caseshere the 'olice o icer concerned has acce'ted that his or her conduct -ell

belo the standards eC'ected o- a 'olice o icer and demonstrates acommitment to im'rove his or her conduct in the -uture and to learn -rom that'articular case. In addition the a''ro'riate authorit ill need to be satis edthat this is the case and that management action is an ade*uate and su icientoutcome having regard to all the circumstances o- the case.

2.1/ Ahere the a''ro'riate authorit consider that there is a case to ans er inres'ect o- misconduct and that management action ould not be a''ro'riatebecause the case to ans er is considered serious enough that i- 'roven oradmitted it ould >usti- at least a ritten arning being given then amisconduct meeting?hearing should be arranged. 9he 'olice o icer shall& sub>ectto the harm test& be given a co' o- the investigation re'ort ;or the 'art o- there'ort hich is relevant to him or her<& an other relevant documents gatheredduring the course o- the investigation and a co' o- his or her statement to theinvestigator. 9hese documents should be su''lied to the o icer as soon as'ossible a-ter the decision has been made to re-er the matter to a meeting or ahearing.

2.1/4 In determining hich documents are relevant& the test to be a''lied illbe that under the (riminal Procedure and Investigations %ct 1554& namel

hether an document or other material undermines the case against the 'oliceo icer concerned or ould assist the 'olice o icerJs case.

2.1/7 Ahere a determination has been made that the conduct amounts to grossmisconduct then the case shall be re-erred to a misconduct hearing ;or s'ecialcase hearing i- a''ro'riate<.

2.1/" 9he a''ro'riate authorit ill also 'rovide the 'olice o icer ith a noticecontaining the matters discussed at regulation 21;1<;a< o- the (onduct




Regulations& including the 'articulars o- the behaviour that is alleged to have-allen belo the standards in the 6tandards o- Pro-essional Mehaviour.

2.1/5 It is necessar to describe the 'articulars o- the actual behaviour o- the'olice o icer that is considered to amount to misconduct or gross misconductand the reasons it is thought the behaviour amounts to such.

2.1 0 It is im'ortant to note that in cases here the misconduct to beconsidered as identi ed as a direct result o- a com'laint& then an decision bthe a''ro'riate authorit to hold or not to hold a 'articular misconduct'roceeding ma be sub>ect to an a''eal b the com'lainant. 9he a''ro'riateauthorit & having made its decision on the outcome o- the investigation into thecom'laint and hether there is a case to ans er in res'ect o- misconduct orgross misconduct ill noti- the com'lainant o- its determination and in-orm thecom'lainant o- their right o- a''eal. 9he 'olice o icer sub>ect to theinvestigation into his or her conduct should be in-ormed o- the determination o-the a''ro'riate authorit but also in-ormed that the a''ro'riate authorit Js

decision could be sub>ect o- an a''eal b the com'lainant ;see IP(( statutorguidance<. 9he a''ro'riate authorit should then ait until either the 2" F 2da s 1 'eriod that the com'lainant ma a''eal has ela'sed or an a''eal has beenreceived and decided b the IP(( be-ore serving the ritten notice described in'aragra'h 2.1/" con rming ho the 'roceedings are to be dealt ith.

2.1 1 9here is no re*uirement to ait until the 'eriod the com'lainant has toa''eal has ela'sed in cases here the a''ro'riate authorit has determinedthat the case should be dealt ith at a misconduct hearing or a s'ecial casehearing.

2.1 2 No nal decision can be ta:en b the a''ro'riate authorit in the case o-a recordable conduct matter here the IP(( are considering hether torecommend or direct that an a''ro'riate authorit ta:e 'articular misconduct'roceedings unless the a''ro'riate authorit intends to re-er the matter to amisconduct hearing or s'ecial case hearing. 9here-ore& the ritten notice shouldnot be 'rovided until the a''ro'riate authorit has heard -rom the IP((.

2.1 + Aithin 1/ or:ing da s ;unless this 'eriod is eCtended b the 'erson;s<conducting the misconduct meeting?hearing -or eCce'tional circumstances<beginning ith the rst or:ing da a-ter being su''lied ith the investigatorJsre'ort and relevant documents and ritten notice described in 'aragra'h 2.1/"&the 'olice o icer ill be re*uired to submit in ritingH 3

• hether or not he or she acce'ts that the behaviour described in the'articulars amounts to misconduct or gross misconduct as the case ma be

• here he or she acce'ts that his or her conduct amounts to misconduct orgross misconduct as the case ma be& an ritten submission he or she

ishes to ma:e in mitigation

1 9he statutor 'eriod -or a com'lainant to a''eal is 2" da s commencing on the da a-ter thedate o- the letter giving noti cation o- the decision o- the a''ro'riate authorit . $o ever& 2eCtra da s are 'rovided -or the IP(( to 'rocess and in-orm the a''ro'riate authorit that ana''eal has been received.




• here he or she does not acce't that his or her conduct amounts tomisconduct or gross misconduct as the case ma be& or he or she dis'utes'art o- the case& ritten notice o- the 'articulars o- the allegation;s< he orshe dis'utes and his or her account o- the relevant events and anarguments on 'oints o- la he or she ishes the 'erson;s< conducting themeeting or hearing to consider.

2.1 / 9he 'olice o icer concerned ill also ; ithin the same time limit< 'rovidethe a''ro'riate authorit and the 'erson;s< conducting the misconduct meetingor hearing ith a co' o- an document he or she intends to rel on at themisconduct 'roceedings. I- such documents involve submissions on 'oints o- lathen the 'erson;s< conducting or chairing a meeting?hearing ma ta:e legaladvice in advance o- the meeting?hearing. In addition& at a misconduct hearingthe 'ersons conducting that hearing have the right to have a relevant la eravailable to them -or advice at the hearing.

2.1 9he 'olice o icer shall be in-ormed o- the name o- the 'erson;s< holding

the meeting?hearing together ith the name o- an 'erson a''ointed to advisethe 'erson;s< conducting the meeting?hearing as soon as reasonabl 'racticablea-ter the have been a''ointed. 9he 'olice o icer ma ob>ect to an 'ersonhearing or advising at a misconduct meeting or hearing ithin + or:ing da sstarting ith the rst or:ing da a-ter he or she as noti ed o- the 'ersonJsname. In doing so the 'olice o icer concerned ill need to set out clear andreasonable ob>ections as to h a 'articular 'erson;s< should not conduct oradvise at the meeting?hearing.

2.1 4 I- the 'olice o icer concerned submits a com'elling reason h such a'erson should not be involved in the meeting?hearing& a re'lacement should be-ound and the 'olice o icer ill be noti ed o- the name o- the re'lacement andthe 'olice o icer concerned ill have the same right to ob>ect to that 'erson.

2.1 7 9he 'olice o icer concerned ma ob>ect to a 'erson;s< conducting amisconduct meeting or hearing or advising at such 'roceedings i-& -or eCam'le&the 'erson;s< have been involved in the case in a a that ould ma:e it di icultto ma:e an ob>ective and im'artial assessment o- the -acts o- the case.

Docu(ents for the (eeting6hearing

2.1 " 9he 'erson;s< conducting the misconduct meeting?hearing shall besu''lied ;in accordance ith regulation 27< ithH 3

• % co' o- the notice su''lied to the 'olice o icer that set out the -act thatthe case as to be re-erred to a misconduct meeting?hearing and details o- the alleged misconduct etc.

• % co' o- the investigatorJs re'ort or such 'arts o- the re'ort that relate tothe 'olice o icer concerned& an other relevant document gathered duringthe course o- the investigation and a co' o- an statement made b theo icer. 9he a''ro'riate authorit must ensure that the investigatorJsre'ort and other relevant documents do not contain inadmissible materialo- the t 'e described in 'aragra'h 2.1+".




• 9he notice 'rovided b the 'olice o icer setting out hether or not the'olice o icer acce'ts that his or her conduct amounts to misconduct orgross misconduct& an submission he or she ishes to ma:e in mitigation

here the conduct is acce'ted& and here he or she does not acce't thatthe alleged conduct amounts to misconduct or gross misconduct or he orshe dis'utes 'art o- the case& the allegations he or she dis'utes and his or

her account o- the relevant eventsK an arguments on 'oints o- lasubmitted b the 'olice o icer concerned as ell as an documents heintends to rel on at the meeting?hearing& submitted under regulation 22o- the (onduct Regulations.

• Ahere the 'olice o icer concerned does not acce't that the allegedconduct amounts to misconduct or gross misconduct as the case ma be or

here he or she dis'utes an 'art o- the case& an other relevantdocuments that in the o'inion o- the a''ro'riate authorit should beconsidered at the meeting?hearing.

• %n other documents that the 'erson;s< conducting the meeting?hearingre*uest that are relevant to the case .

2.1 5 9he documents -or the meeting?hearing should not be given to the'erson;s< a''ointed to conduct the meeting?hearing until the time has la'sed -orthe o icer concerned to ob>ect to the 'erson;s< conducting the 'roceedings andonl a-ter the o icer has res'onded in accordance ith his or her obligationunder Regulation 22. 9he com'lete documents including an res'onse -rom theo icer ;as set out in Regulation 22< should then be given to the 'erson;s<conducting the 'roceedings at the same time as the o icer concerned is givenan documents that he or she has not alread received.

8itnesses

2.140 % itness ill onl be re*uired to attend a misconduct meeting?hearing i-the 'erson conducting or chairing the meeting?hearing reasonabl believes hisor her attendance is necessar to resolve dis'uted issues in that case. Aherethere is a itness hose evidence is in dis'ute and ho is material to theallegation then such itnesses should be made available to attend. 9hea''ro'riate authorit should meet the reasonable eC'enses o- an itnesses.

2.141 9he a''ro'riate authorit and the o icer concerned shall in-orm eachother o- an itnesses the ish to attend including brie- details o- the evidencethat 'erson can 'rovide. 9he should attem't to agree hich itness;es< arenecessar to deal ith the issue;s< in dis'ute.

2.142 9he a''ro'riate authorit shall su''l the 'erson;s< conducting the'roceedings ith a list o- the itnesses agreed bet een the 'arties or herethere is no agreement& the lists 'rovided b both the o icer and the a''ro'riateauthorit . 9he 'erson conducting a misconduct meeting or the chair o- amisconduct hearing ill decide hether to allo such itnesses. 9he 'ersonconducting or chairing the misconduct 'roceedings ma also decide that a

itness other than one on such lists should be re*uired to attend ;i- theirattendance is considered necessar <.




2.14+ Ahere the 'erson conducting a misconduct meeting or the chair o- amisconduct hearing re>ects the re*uest -or a 'articular itness;es< to attend it isgood 'ractice -or the reasons -or re-using to allo the attendance o- the

itness;es< to be given to the 'olice o icer concerned and the a''ro'riateauthorit . 2.14/ Ahilst the 'erson conducting the misconduct meeting or the chair o- amisconduct hearing ill decide hether a 'articular itness;es< are re*uired&the a''ro'riate authorit ill be res'onsible -or arranging the attendance o- an

itness.

2.14 In s'ecial cases ;-ast trac:< no itnesses& other than the o icerconcerned& ill 'rovide evidence at the hearing. ;6ee %nneC %<

.isconduct (eetings6hearings

2.144 9here are t o t 'es o- misconduct 'roceedingsH % Misconduct Meeting -or cases here there is a case to ans er in res'ecto- misconduct and here the maCimum outcome ould be a nal ritten

arning.

% Misconduct Hearing -or cases here there is a case to ans er in res'ecto- gross misconduct or here the 'olice o icer has a live nal ritten

arning and there is a case to ans er in res'ect o- a -urther act o-misconduct. 9he maCimum outcome at this hearing ould be dismissal-rom the 'olice service ithout notice.

2.147 It is im'ortant that misconduct hearings are onl used -or those mattershere the 'olice o icer has a live nal ritten arning and has 'otentiall

committed a -urther act o- misconduct that arrants misconduct 'roceedings orthe misconduct alleged is so serious that& i- the conduct alleged as 'roven oradmitted& dismissal ould be >usti ed having regard to all the circumstances o-the case. ;6ee 'aragra'h 2."0%<

Ti(ing for holding (eetings6hearings

2.14" % misconduct meeting shall ta:e 'lace not later than 20 or:ing da sbeginning ith the rst or:ing da a-ter the date on hich the documents andmaterial -or the meeting have been su''lied to the 'olice o icer underRegulation 21 o- the (onduct Regulations. 8isconduct hearings shall ta:e 'lacenot later than +0 or:ing da s beginning ith the rst or:ing da a-ter thedate the documents -or the hearing have been su''lied to the 'olice o icerconcerned. Documents -or the meeting?hearing should be served on the o iceras soon as 'ossible a-ter the decision has been ta:en to re-er the matter tomisconduct 'roceedings.

2.145 9he time limit -or holding a misconduct meeting or a misconduct hearing

can be eCtended i- in the interests o- >ustice the 'erson conducting or chairingthe misconduct 'roceedings considers it a''ro'riate to eCtend be ond that'eriod. %n decision to eCtend or not to eCtend the time limit -or a




meeting?hearing and the reasons -or it ill be documented b that 'erson andcommunicated to the a''ro'riate authorit and the 'olice o icer concerned. Itis also good 'ractice to in-orm the 'olice -riend o- the 'olice o icer concerned;i- a''licable<.

2.170 In order to maintain con dence in the misconduct 'rocedures it isim'ortant that the misconduct meetings?hearings are held as soon as'racticable and eCtensions to the timescales should be an eCce'tion rather thanthe rule. 9o that end& managers a''ointed to conduct or chair misconductmeetings?hearings are to ensure that a robust stance is ta:en in managing the'rocess hilst ensuring the -airness o- the 'roceedings. )Ctensions ma bea''ro'riate -or eCam'le i- the case is 'articularl com'leC. It ill not normallbe considered a''ro'riate to eCtend the timescale on the grounds that the'olice o icer concerned ishes to be re'resented b a 'articular la er.

Purpose of (isconduct (eeting6hearing

2.171 9he 'ur'ose o- a -ormal misconduct meeting?hearing is toH• !ive the 'olice o icer a -air o''ortunit to ma:e his or her case having

considered the investigation re'ort including su''orting documents and to'ut -or ard an -actors the 'olice o icer ishes to be considered inmitigation ;in addition to the submission hich must be sent in advance tothe 'erson;s< conducting or chairing the meeting?hearing -or his& her ortheir consideration<.

• Decide i- the conduct o- the 'olice o icer -ell belo the standards set outin the 6tandards o- Pro-essional Mehaviour based on the balance o-'robabilities and having regard to all o- the evidence and circumstances.

• (onsider hat the outcome should be i- misconduct is 'roven or admitted.(onsideration ill be given to an live ritten arnings or nal ritten

arnings ;and an 'revious disci'linar outcomes that have not eC'ired 2<and an earl admission o- the conduct b the 'olice o icer.

Person0s1 appointed to hold (isconduct (eetings6hearings

.isconduct (eeting ' 9on senior o cers 0regulation ) 1

2.172 % misconduct meeting -or non senior o icers ;'olice o icers u' to andincluding the ran: o- (hie- 6u'erintendent and all s'ecial constables< ill beheard b H

a< a 'olice o icer ;or other member o- a 'olice -orce< o- at least one ran:above the 'olice o icer concerned. $o ever& in the case o- a s'ecialconstable& the member o- the 'olice -orce must be a sergeant or above ora senior human resources 'ro-essionalK or

b< a 'olice sta member ho& in the o'inion o- the a''ro'riate authorit &

is a grade above that o- the 'olice o icer concerned. % 'olice sta

2 6ee Regulation 1 o- 9he Police Regulations 200+ ;6I 200+ No. 27<




manager must not be a''ointed to conduct a misconduct meeting i- thecase substantiall involves o'erational 'olicing matters.

2.17+ %n a''ro'riate manager ; hether a 'olice o icer or 'olice sta manager<ma also be a''ointed as an adviser to the 'erson a''ointed to hold the meetingi- the a''ro'riate authorit considers it a''ro'riate in the circumstances. 9headviserJs role is solel to advise on the 'rocedure to be ado'ted and not as adecision ma:er. 9he manager a''ointed to conduct the meeting and ; herea''ro'riate< the adviser must be su icientl inde'endent in relation to thematter concerned ;-or eCam'le ithout an 'revious involvement in the matter<as to avoid an suggestion o- un-airness.

.isconduct hearing ' 9on senior o cers 0regulation ) 1

2.17/ % misconduct hearing -or non senior o icers ill consist o- a + 'erson'anel.

2.17 9he chair ill be either a senior o icer or a senior $uman ResourcesPro-essional. % senior $uman Resources Pro-essional means a human resources'ro-essional ho in the o'inion o- the a''ro'riate authorit has su icientseniorit & s:ills and eC'erience to conduct the misconduct hearing. 2.174 Ahere the senior $uman Resources Pro-essional is the chair then he orshe ill be accom'anied b an inde'endent member ;a''ointed -rom the listheld b the local 'olicing bod < and a 'olice o icer o- the ran: o- su'erintendentor above.

2.177 Ahere the senior o icer is the chair then he or she ill be accom'aniedb an inde'endent member ;a''ointed -rom the list held b the local 'olicingbod < and a 'olice o icer o- the ran: o- su'erintendent or above or a $umanResources Pro-essional ho is considered b the a''ro'riate authorit to be o-su icient grade to sit on the 'anel. 9he grade re*uired -or the $umanResources 'ro-essional ill de'end on the ran: o- the 'olice o icer concerned.

2.17" 9he a''ro'riate authorit ma a''oint a 'erson to advise the 'ersonsconducting the misconduct hearing and the adviser ma be a relevant la er i-re*uired.

.isconduct (eetings6hearings ' +enior o cers 0regulation );1

2.175 9he 'ersons ho ill hear misconduct meetings?hearings -or senioro icers are set out at %nneC M.

.isconduct Hearings in Pu$lic

2.1"0 Ahere a misconduct hearing ;not misconduct meetings< arises -rom a casehere the IP(( have conducted an inde'endent investigation ;in accordanceith 'aragra'h 15 o- 6chedule + to the 2002 %ct< and the IP(( considers that

because o- its gravit or other eCce'tional circumstances it ould be in the

'ublic interest to do so& the IP(( ma & having consulted ith the a''ro'riateauthorit & the 'olice o icer concerned& the com'lainant& or interested 'erson

Version 2 – Revised November 2012 &0



and an itnesses& direct that the hole or 'art o- the misconduct hearing illbe held in 'ublic.

2.1"1 9he IP(( have 'ublished criteria -or deciding hen such cases ill beheld in 'ublic and a co' o- this is available -rom the IP(( or the IP(( ebsiteat .i'cc.gov.u:.

<oint (eetings6hearings

2.1"2 (ases ma arise here t o or more 'olice o icers are to a''ear be-ore amisconduct meeting or hearing in relation to a''arent -ailures to meet thestandards set out in the 6tandards o- Pro-essional Mehaviour stemming -rom thesame incident. In such cases& each 'olice o icer ma have 'la ed a di erent'art and an alleged misconduct ma be di erent -or each 'olice o icerinvolved. It ill normall be considered necessar to deal ith all the matterstogether in order to disentangle the various strands o- action& and there-ore asingle meeting?hearing ill normall be a''ro'riate.

2.1"+ % 'olice o icer ma re*uest a se'arate meeting?hearing i- he or she candemonstrate that there ould be a real ris: o- un-airness to that 'olice o icer i-his or her case as dealt ith in a >oint meeting?hearing. It is -or the 'ersonconducting the meeting or the chair o- a misconduct hearing to decide i- ase'arate meeting or hearing is a''ro'riate.

2.1"/ Ahere a >oint meeting?hearing is held it ill be the dut o- the 'erson;s<conducting the meeting?hearing to consider the case against each 'olice o icerand here a breach o- the 6tandards o- Pro-essional Mehaviour is -ound oradmitted& to deal ith each 'olice o icerJs mitigation and circumstancesindividuall and decide on the outcome accordingl . 9he 'erson;s< conductingthe meeting?hearing have the discretion to eCclude the other o icer;s< sub>ect o- the meeting?hearing i- he& she or the determine it a''ro'riate to do so e.g.

hen hearing the submissions o- mitigation b each o icer.

.eeting6hearing in a$sence of o cer concerned

2.1" It is in the interests o- -airness to ensure that the misconductmeeting?hearing is held as soon as 'ossible. % meeting?hearing ma ta:e 'lace i- the 'olice o icer -ails to attend.

2.1"4 In cases here the 'olice o icer is absent ;-or eCam'le through illness orin>ur < a short dela ma be reasonable to allo him or her to attend. I- this isnot 'ossible or an dela is considered not a''ro'riate in the circumstancesthen the 'erson;s< conducting the meeting?hearing ma allo the 'olice o icerto 'artici'ate b tele'hone or video lin:. In these circumstances a 'olice -riend

ill al a s be 'ermitted to attend the meeting?hearing to re'resent the 'oliceo icer in the normal a ;and in the case o- a misconduct hearing the 'oliceo icerJs legal re'resentative here a''ointed<.

2.1"7 I- a 'olice o icer is detained in 'rison or other institution b order o- a

court& there is no re*uirement on the a''ro'riate authorit to have the o icerconcerned 'roduced -or the 'ur'oses o- the misconduct meeting?hearing.




Conduct of (isconduct (eeting6hearing

2.1"" It ill be -or the 'erson;s< conducting the meeting?hearing to determinethe course o- the meeting?hearing in accordance ith the 'rinci'les o- natural

>ustice and -airness.

2.1"5 9he 'erson;s< conducting the meeting?hearing ill have read theinvestigatorJs re'ort together ith an account given b the 'olice o icerconcerned during the investigation or hen submitting his or her res'onseunder regulation 22 o- the (onduct Regulations. 9he 'erson;s< conducting themeeting?hearing ill also have had the o''ortunit to read the relevantdocuments attached to the investigatorJs re'ort.

2.150 %n document or other material that as not submitted in advance o- themeeting?hearing b the a''ro'riate authorit or the 'olice o icer concernedma still be considered at the meeting?hearing at the discretion o- the 'erson;s<conducting the meeting?hearing. $o ever the 'resum'tion should be that such

documents ill not be 'ermitted unless it can be sho n that the ere not'reviousl available to be submitted in advance.

2.151 Ahere an such document or other material is 'ermitted to be considered&a short ad>ournment ma be necessar to enable the a''ro'riate authorit or'olice o icer concerned& as the case ma be& to read or consider the documentor other material and consider its im'lications.

2.152 8aterial that ill be allo ed& although not submitted in advance& illinclude mitigation here the 'olice o icer concerned denied the conductalleged but the 'erson;s< conducting the meeting?hearing -ound that theconduct had amounted to misconduct or gross misconduct and are to decide onoutcome.

2.15+ Ahere there is evidence at the meeting or hearing that the 'olice o icerconcerned& at an time a-ter being given ritten notice under regulation 1 o-the (onduct Regulations ;or regulation 14 o- the (om'laint Regulations<& -ailedto mention hen intervie ed or hen ma:ing re'resentations to theinvestigator or under regulation 22 o- the (onduct Regulations& an -act reliedon in his or her de-ence at the meeting?hearing& being a -act hich in thecircumstances eCisting at the time the 'olice o icer concerned could reasonablhave been eC'ected to mention hen *uestioned or 'roviding a rittenres'onse& the 'erson;s< conducting the meeting?hearing ma dra suchin-erences -rom this -ailure as a''ear a''ro'riate.

2.15/ Ahere a itness ;es< does attend to give evidence then an *uestions tothat itness should be made through the 'erson conducting the meeting& or inthe case o- a misconduct hearing& the chair. 9his does not 'revent the 'ersonconducting the meeting& or the chair in a misconduct hearing& allo ing*uestions to be as:ed directl i- the -eel that is a''ro'riate. It is -or the'erson;s< conducting the meeting?hearing to control the 'roceedings and -ocuson the issues to ensure a -air meeting?hearing.

2.15 9he 'erson;s< conducting misconduct meetings?hearings ill consider the-acts o- the case and ill decide ;on the balance o- 'robabilities< hether the




'olice o icerJs conduct amounted to misconduct& gross misconduct ;in the caseo- a misconduct hearing< or neither. Ahere 'roceedings are conducted b a'anel an decision shall be based on a ma>orit ;the chair having the casting

vote here there is a 'anel o- 2 or /< i- necessar . I- the meeting decides thatthe 'olice o icerJs conduct did not -all belo the standards eC'ected then assoon as reasonabl 'racticable ;and no later than or:ing da s beginning iththe rst or:ing da a-ter the meeting or hearing< the 'olice o icer shall bein-ormed and no entr ill be made on his or her 'ersonal record.

2.154 % record o- the 'roceedings at the meeting?hearing must be ta:en. In thecase o- a misconduct hearing this ill be b means o- a verbatim record hetherb ta'e recording or an other recording method.

+tandard of proof

2.157 In deciding matters o- -act the misconduct meeting?hearing must a''lthe standard o- 'roo- re*uired in civil cases& that is& the balance o- 'robabilities.

(onduct ill be 'roved on the balance o- 'robabilities i- the 'erson;s<conducting the meeting?hearing is?are satis ed b the evidence that it is moreli:el than not that the conduct occurred. 9he balance o- 'robabilities is a singleunvar ing standard ;i.e. there is no sliding scale<.

2.15" 9he more serious the allegation o- misconduct that is made or the moreserious the conse*uences -or the individual hich Lo -rom a nding againsthim or her& the more 'ersuasive ;cogent< the evidence ill need to be in order tomeet that standard. 9his does not mean that the standard is higher. It meansonl that the inherent 'robabilit or im'robabilit o- the conduct occurring isitsel- a matter to be ta:en into account hen eighing the 'robabilit anddeciding hether on balance the conduct occurred.

2.155 9here-ore in ma:ing a decision hether the alleged conduct o- a 'oliceo icer is 'roven or not& the 'erson;s< conducting the misconductmeeting?hearing ill need to eCercise reasonable >udgement and givea''ro'riate care-ul consideration to the evidence.

#utco(es of (eetings6hearings

2.200 I- the 'erson;s< conducting the misconduct meeting?hearing nd that the'olice o icerJs conduct did -ail to meet the 6tandards o- Pro-essional Mehaviour&then the 'erson;s< conducting the meeting?hearing ill then determine the mosta''ro'riate outcome.

2.201 In considering the *uestion o- outcome the 'erson;s< conducting themeeting?hearing ill need to ta:e into account an 'revious ritten arnings;im'osed under the Police ;(onduct< Regulations but not 6u'erintendentJs

arnings issued under the 'revious 'rocedures< that ere live at the time o- theinitial assessment o- the conduct in *uestion& an aggravating or mitigating-actors and have regard to the 'olice o icerJs record o- service& including an'revious disci'linar outcomes that have not been eC'unged in accordance ith

Regulation 1 o- the Police Regulations 200++

. 9he 'erson;s< conducting themeeting?hearing ma ;onl i- deemed necessar and at the 'erson;s< conducting

3 %s amended b the Police ;%mendment< Regulations 200".




the meeting?hearings discretion< receive evidence -rom an itness hoseevidence ould in their o'inion assist them in this regard.

2.202 9he 'erson;s< conducting the meeting?hearing are also entitled to ta:eaccount o- an earl admission o- the conduct on behal- o- the 'olice o icerconcerned and attach hatever eight to this as he& she or the considera''ro'riate in the circumstances o- the case.

2.20+ In addition& the 'olice o icer concerned and his or her 'olice -riendJ ;orhere a''ro'riate legal re'resentative< ill be given the o''ortunit to ma:e

re'resentations on the *uestion o- the most a''ro'riate outcome o- the case.

2.20/ 9he a''ro'riate authorit also has the o''ortunit to ma:ere'resentations as to the most a''ro'riate outcome.

#utco(es a!aila$le at (isconduct (eetings6hearings

2.20 9he 'erson;s< conducting the meeting?hearing ma record a nding thatthe conduct o- the 'olice o icer concerned amounted to misconduct and ta:e no-urther action or im'ose one o- the -ollo ing outcomesH

a) 6anagement advice

9he 'olice o icer ill be toldH

• 9he reason -or the advice

• 9hat he or she has a right o- a''eal and the name o- the 'erson to homthe a''eal should be sent.

b) ritten warning


• 9he reason -or the arning.

• 9hat he or she has a right to a''eal and the name o- the 'erson to homthe a''eal should be sent.

• 9hat the arning ill be 'ut on his or her 'ersonal le and ill remain live-or t elve months -rom the date the arning is given. 9his means thatan misconduct in the neCt 12 months is li:el to lead to ;at least< a nal

ritten arning.

c) 7inal written warning


• 9he reason -or the arning.

• 9hat an -uture misconduct ma result in dismissal




• 9hat he or she has a right to a''eal and the name o- the 'erson to homthe a''eal should be sent.

• 9hat the nal ritten arning ill be 'ut on his or her 'ersonal le andill remain live -or eighteen months -rom the date the arning is given.

9his means that onl in eCce'tional circumstances ill -urther misconduct

;that >usti es more than management advice< not result in dismissal. ;IneCce'tional circumstances onl & the nal ritten arning ma be eCtended-or a -urther 1" months on one occasion onl .<

%t a misconduct hearing& in addition to the outcomes available at a<& b< and c<above the 'ersons conducting the hearing ill also have available the outcomeso-H

d) 2ismissal with notice – 9he notice 'eriod ill be determined b the 'ersonsconducting the hearing sub>ect to a minimum o- 2" da s.

e) 2ismissal without notice 3 Dismissal ithout notice ill mean that the 'olice o iceris dismissed -rom the 'olice service ith immediate e ect.

2.20 % Ahere the 'ersons considering the misconduct hearing are consideringmore than one allegation in relation to the same 'olice o icer& the allegationsma be ta:en together and treated as a single allegation -or the 'ur'oses o-ma:ing an assessment& nding& determination or decision in connection ithconduct hich is the sub>ect matter o- an allegation.

2.204 Ahere the 'ersons conducting a misconduct hearing nd that the 'oliceo icerJs conduct amounted to gross misconduct and decide that the 'oliceo icer should be dismissed -rom the 'olice service& then that dismissal ill be

ithout notice. Ahere a 'olice o icer a''ears be-ore a misconduct hearing -oran alleged act o- gross misconduct& and the 'erson;s< conducting the hearing

nd that the conduct amounts to misconduct rather than gross misconduct& then;unless the 'olice o icer alread has a live nal ritten arning< thedisci'linar outcomes available to the 'anel are those that are available at amisconduct meeting onl .

2.207 Ahere a case is re-erred to a misconduct meeting and the 'olice o icerconcerned has a live ritten arning 4 and the 'olice o icer either admits or is

-ound at the meeting to have committed a -urther act o- misconduct& then the'erson conducting the misconduct meeting cannot im'ose another rittenarning. 9he 'erson conducting the meeting ill need to decide hether to ta:e

no action& give management advice or i- he or she determines that either t 'e o-ritten arning is a''ro'riate shall im'ose a nal ritten arning.

2.20" Ahere a case is re-erred to a misconduct hearing on the grounds that the'olice o icer concerned has a live nal ritten arning and at the hearing the'olice o icer either admits or is -ound to have committed a -urther act o-

/ % ritten arning or nal ritten arning is live i- at the time the latest allegation o-misconduct as assessed ;under regulation 12 o- the (onduct Regulations or 'aragra'h15M o- the 2002 %ct< the o icer concerned had an outstanding ritten arning or nal

ritten arning that had not eC'ired.

Version 2 – Revised November 2012 &&



misconduct& then the 'ersons conducting the misconduct hearing cannot im'oseanother ritten or a nal ritten arning.

2.205 9he 'ersons conducting the hearing ma give management advice.$o ever i- the 'ersons conducting the hearing determine that the misconductadmitted or -ound should attract a -urther ritten or nal ritten arning the

ill dismiss the 'olice o icer unless the are satis ed that there are eCce'tionalcircumstances that arrant the 'olice o icer concerned remaining in the 'oliceservice.

2.210 Ahere the 'ersons conducting the misconduct hearing determine thatsuch eCce'tional circumstances eCist& the ill eCtend the current nal ritten

arning that the 'olice o icer has -or a -urther 1" months -rom the date thearning ould other ise eC'ire ;so that the original nal ritten arning ill

last -or +4 months in total<. %n eCtension to a nal ritten arning can onl begiven on one occasion. In other ords& i- a -urther act o- misconduct comesbe-ore a misconduct hearing a-ter an eCtension has been im'osed& unless it is

su icientl minor to >usti- management advice& the 'olice o icer ill bedismissed.

2.211 9he eCce'tional circumstances ma include here the misconduct hichis sub>ect o- the latest hearing 're3dates the misconduct -or hich the 'oliceo icer received his or her original nal ritten arning or the misconduct in thelatest case is signi cantl less serious than the conduct that led to the current

nal ritten arning being given.

9oti%cation of the outco(e

2.212 In all cases the 'olice o icer ill be in-ormed in riting o- the outcome o-the misconduct meeting?hearing. 9his ill be done as soon as 'racticable and inan case ithin or:ing da s beginning ith the rst or:ing da a-ter theconclusion o- the misconduct meeting?hearing.

2.21+ 9he noti cation in the case o- a misconduct meeting ill includenoti cation to the 'olice o icer concerned o- his or her right to a''eal againstthe nding and?or outcome and the name o- the 'erson to hom an a''ealshould be sent.

2.21/ In the case o- a 'olice o icer ho has attended a misconduct hearing& thenoti cation ill include his or her right o- a''eal to a Police %''eals 9ribunalagainst an nding and?or outcome im'osed.

2.21 In cases involving a com'lainant or interested 'erson& here the matteras sub>ect o- a local or su'ervised investigation the a''ro'riate authorit ill

be res'onsible -or in-orming the IP((& an com'lainant and an interested'erson o- the outcome& including the -act and outcome o- an a''eal against theoutcome.

E=piry of 8arnings

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2.214 Noti cation o- ritten arnings issued& including the date issued andeC'ir date ill be recorded on the 'olice o icerJs 'ersonal record& along ith aco' o- the ritten noti cation o- the outcome and a summar o- the matter.

2.217 Ahere a 'olice o icer has a live ritten arning and trans-ers -rom one-orce to another& then the live arning ill trans-er ith the 'olice o icer and

ill remain live until the eC'ir o- the arning and should be re-erred to as 'arto- an re-erence be-ore the 'olice o icer trans-ers.

2.21" Ahere a 'olice o icer ho has a live ritten arning or nal rittenarning ta:es a career brea: in accordance ith Police Regulations then an

time on such a brea: ill not count to ards the 12 months ;in the case o- aritten arning< or 1" months ;in the case o- a nal ritten arning< or +4

months ;in the case o- an eCtended nal ritten arning< that the arning islive.

2.215 #or eCam'le i- a 'olice o icer has a ritten arning that has been live -or

siC months and then goes on a career brea: -or 12 months and then returns tothe -orce& he or she ill still have siC months be-ore the ritten arning eC'ireson re>oining the -orce.

+pecial Priority Pay(ent6Co(petency Related Threshold Pay(ent

2.220 % nding or admission o- misconduct at a misconduct meeting or hearingill not automaticall result in the removal o- a 'olice o icerJs s'ecial 'riorit

'a ment or com'etenc related threshold 'a ment. Ahere a 'olice o icer hasreceived a ritten arning or a nal ritten arning this ma trigger a revieo- the a''ro'riateness o- that 'olice o icer continuing to receive such'a ments. $o ever the misconduct is to be considered alongside the othercriteria -or receiving the 'a ments in reaching a decision as to hether it isa''ro'riate and >usti ed to remove such 'a ments.

Attendance of co(plainant or interested person at (isconduct proceedings

2.221 Ahere a misconduct meeting?hearing is being held as a direct result o- a'ublic com'laint or a conduct matter hich as sub>ect to a local& su'ervised&managed or inde'endent investigation& the com'lainant or interested 'erson

ill have the right to attend the meeting?hearing as an observer ;in addition toattending as a itness i- re*uired to do so<. 9his right is sub>ect to the right o-the chair or 'erson conducting the 'roceedings to eCclude or im'ose conditionson the com'lainantJs or interested 'art Js attendance to -acilitate the 'ro'erconduct o- 'roceedings. 9he com'lainant or interested 'erson ma beaccom'anied b one other 'erson and& i- the have a s'ecial need& one -urther'erson to accommodate that need e.g. an inter'reter& sign language eC'ert etc.9he a''ro'riate authorit ill there-ore be res'onsible -or noti- ing thecom'lainant or interested 'erson o- the date& time and 'lace o- the misconductmeeting?hearing.

2.222 9he misconduct meeting?hearing shall not be dela ed solel in order to

-acilitate a com'lainant or interested 'erson attending the meeting?hearing&although consideration ill need to be given to hether the com'lainant orinterested 'erson is also a itness in the matter.

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2.22+ 9he com'lainant or interested 'erson ma at the discretion o- the 'ersonconducting or chairing the meeting?hearing 'ut *uestions through the 'ersonconducting or chairing the meeting or hearing. ONoteH (om'lainants andinterested 'ersons ill not be 'ermitted to 'ut *uestions to the 'olice o icer ina s'ecial case hearing. 6ee %nneC % .

2.22/ Ahere the com'lainant or interested 'erson is re*uired to attend ameeting?hearing to give evidence& he or she or an 'erson accom'an ing him orher ill not be 'ermitted to be 'resent in the meeting?hearing be-ore giving hisor her evidence. %n 'erson accom'an ing the com'lainant or interested 'ersonand?or the 'erson assisting the com'lainant or interested 'erson due to as'ecial need ill not be 'ermitted to be 'resent in the meeting?hearing be-orethe com'lainant or interested 'erson has given evidence ;i- a''licable<.

2.22 % com'lainant or interested 'erson and an 'erson accom'an ing thecom'lainant ill be 'ermitted to remain in the meeting?hearing until the

conclusion o- the 'roceedings& a-ter having given evidence ;i- a''ro'riate<.$o ever here the o icer concerned ob>ects to the com'lainant or interested'erson& or an 'erson accom'an ing him& being 'resent hile a submission ismade in mitigation on the o icerJs behal-& the 'erson conducting or chairing themisconduct 'roceedings ma re*uire the com'lainant or interested 'erson& oran 'erson accom'an ing him& to ithdra hile the submission is made. 9heright o- the o icer to ob>ect in this a should be dra n to their attention b the'erson conducting or chairing the 'roceedings.

2.22 % 9he decision about hether to allo the com'lainant or interested'erson& or an 'erson accom'an ing them& to remain or not is a decision -or thechair having considered re'resentations made b the o icer. I- the 'anel chairis not minded to grant the o icerJs re*uest immediatel & thecom'lainant?interested 'erson should be as:ed to leave the room under thegeneral 'o er in regulation +1;"< o- the (onduct Regulations hile the o icerma:es a submission giving reasons h such 'ersons should be eCcluded hilesubmissions are made in mitigation. I- the com'lainant or interested 'erson hasbeen eCcluded& the 'erson conducting or chairing the meeting must& sub>ect tothe need to :ee' them eCcluded -or an other reason& invite them bac: into themeeting?hearing -or the communication o- the nding and the outcome o- the'roceedings.

2.224 9he 'erson;s< conducting a misconduct meeting?hearing ill have thediscretion to allo a itness ; ho is not a com'lainant or interested 'erson<

ho has attended and given evidence at the meeting?hearing to remain or to as: him or her to leave the 'roceedings a-ter giving his or her evidence.

IPCC direction and attendance at (eetings6hearings

2.227 Ahere the IP(( eCercises its 'o er ;under 'aragra'h 27 o- 6chedule + tothe 2002 %ct< to direct an a''ro'riate authorit to hold a misconductmeeting?hearing& this ill also include a direction as to hether the 'roceedings

ill be a misconduct meeting or hearing. In ma:ing such a direction the IP((ill have regard to the severit assessment that has been made in the case andbeen noti ed to the 'olice o icer concerned.

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2.22" Ahere a misconduct meeting?hearing is to be held -ollo ingH 3

• an investigation managed or inde'endentl investigated b the IP((K or

• a local or su'ervised investigation here the IP(( has made arecommendation under 'aragra'h 27;+< o- 6chedule + o- Police Re-orm

%ct 2002 that misconduct 'roceedings should be ta:en and therecommendation has been acce'ted b the a''ro'riate authorit K or

• the IP(( has given a direction under 'aragra'h 27;/< o- that 6chedulethat misconduct 'roceedings shall be ta:en.

• then the (ommission ma attend the misconduct meeting?hearing toma:e re'resentations. 6uch re'resentations ma be an eC'lanation hthe IP(( has directed 'articular misconduct 'roceedings to be brought orto comment on the investigation.

2.225 Ahere the (ommission is to attend a misconduct hearing& it ma instructa relevant la er to re'resent it.

Right of appeal

2.2+0 % 'olice o icer has a right o- a''eal against the nding and?or theoutcome im'osed at a misconduct meeting.

2.2+1 9he a''eal is commenced b the 'olice o icer concerned giving rittennotice o- a''eal to the a''ro'riate authorit & clearl setting out the grounds -orthe a''eal ithin 7 or:ing da s beginning ith the rst or:ing da a-ter therecei't o- the noti cation o- the outcome o- the misconduct meeting ;unless this'eriod is eCtended b the a''ro'riate authorit -or eCce'tional circumstances<.

2.2+2 9he 'olice o icer has the right to be accom'anied b a 'olice -riend.

2.2++ 9he 'olice o icer concerned ma onl a''eal on the grounds thatH 3

a< the nding or disci'linar action im'osed as unreasonableK

b< there is evidence that could not reasonabl have been considered at themisconduct meeting hich could have materiall a ected the nding or decisionon disci'linar actionK or

c< there as a serious breach o- the 'rocedures set out in the regulations orother un-airness hich could have materiall a ected the nding or decision ondisci'linar action.

Appeal follo-ing (isconduct (eeting 5 non senior o cers 0regulations >? to @4of the Conduct Regulations1

2.2+/ %n a''eal against the nding and?or the outcome -rom a misconductmeeting ill be heard b a member o- the 'olice service o- a higher ran: or a'olice sta manager ho is considered to be o- a higher grade than the 'erson

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ho conducted the misconduct meeting. % 'olice sta manager should not bea''ointed to conduct the a''eal i- the case substantiall involves o'erational'olicing matters.

2.2+ % 'olice o icer or 'olice sta member ma be 'resent to advise the'erson conducting the a''eal on 'rocedural matters.

2.2+4 9he 'erson determining the a''eal ill be 'rovided ith the -ollo ingdocumentsH 3 a< 9he notice o- a''eal -rom the 'olice o icer concerned setting out his or hergrounds o- a''eal.

b< 9he record o- the original misconduct meeting.

c< 9he documents that ere given to the 'erson ho held the originalmisconduct meeting.

d ) %n evidence that the 'olice o icer concerned ishes to submit in su''ort o-his or her a''eal that as not considered at the misconduct meeting .

2.2+7 9he 'erson a''ointed to deal ith the a''eal must rst decide hetherthe notice o- a''eal sets out arguable grounds o- a''eal. I- he or she determinesthat there are no arguable grounds then he or she shall dismiss the a''eal andin-orm the 'olice o icer concerned accordingl setting out his or her reasons.

2.2+" Ahere the 'erson a''ointed to hear the a''eal determines that there arearguable grounds o- a''eal and the 'olice o icer concerned has re*uested to be'resent at the a''eal meeting& the 'erson a''ointed to conduct the 'roceedings

ill hold a meeting ith the 'olice o icer concerned. Ahere the 'olice o icer-ails to attend the meeting& the 'erson conducting the a''eal ma 'roceed in theabsence o- the 'olice o icer concerned.

2.2+5 9he 'erson conducting the a''eal ma considerH

• Ahether the nding o- the original misconduct meeting as unreasonablehaving regard to all the evidence considered or i- the nding could no bein doubt due to evidence hich has emerged since the meeting.

• %n outcome im'osed b the misconduct meeting hich ma beconsidered as too severe or too lenient having regard to all thecircumstances o- the case.

• Ahether the nding or outcome could be unsa-e due to 'roceduralun-airness and 're>udice to the 'olice o icer ;although the 'ersonconducting the a''eal must also ta:e into account hether the un-airnessor 're>udice could have materiall inLuenced the outcome<.

2.2/0 9he 'erson determining the a''eal ma con rm or reverse the decision

a''ealed against. Ahere the 'erson determining the a''eal decides that theoriginal disci'linar action im'osed as too lenient then he or she ma increasethe outcome u' to a maCimum o- a nal ritten arning.

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2.2/1 In general& an a''eal is not a re'eat o- the misconduct meeting. It is toeCamine a 'articular 'art;s< o- the misconduct case hich is under *uestion and

hich ma a ect the nding or the outcome. $o ever& in a case here the'erson conducting the a''eal decides that the nding or outcome ma be unsa-edue to ne evidence& a 'rocedural breach or other un-airness& it ma benecessar to rehear the matter in its entiret in order to decide hat the ndingor outcome ould have been i- the evidence had been available or the'rocedural breach or un-airness had not occurred.

2.2/2 9he a''eal ill normall be heard ithin or:ing da s beginning iththe or:ing da a-ter the determination that the o icer concerned has arguablegrounds o- a''eal. I- the 'olice o icer concerned or his or her 'olice -riend isnot available at the date or time s'eci ed b the 'erson conducting the a''eal&the 'olice o icer ma 'ro'ose an alternative time. Provided that the alternativetime is reasonable and -alls ithin a 'eriod o- or:ing da s beginning ith the

rst or:ing da a-ter that 'ro'osed b the 'erson conducting the a''eal the

a''eal must be 'ost'oned to that time. 6imilarl & the o icer concerned canob>ect to the 'erson a''ointed to conduct the a''eal in the same a as he orshe could -or the original misconduct meeting.

Appeal follo-ing (isconduct hearing 5 non senior o cers

2.2/+ Ahere a 'olice o icer has a''eared be-ore a misconduct hearing then ana''eal against the nding or outcome is to the Police %''eals 9ribunal ;see

%nneC (<. 9he 'olice o icer should be in-ormed that the Police %''eals 9ribunalcan increase an outcome im'osed as ell as reduce or overturn the decision o-the misconduct hearing or s'ecial case hearing.

. 8 A Ahere the 'erson determining the a''eal decides that the nding oroutcome ma be unsa-e due to ne evidence under rule /;/<;b< o- the Police

%''eals 9ribunal Rules or 'rocedural un-airness under rule /;/<;c<& then he orshe ma set aside the relevant decision and remit the matter bac: to the -orce tobe decided again in accordance ith the relevant 'rovisions o- the (onductRegulations or the Per-ormance Regulations. Ahere the original decision asta:en b a 'anel& the case ill be reheard b a -resh 'anel hich does notcontain an o- the members o- the original 'anel.

Appeals against (isconduct (eetings6hearings 5 senior o cers

2. 2// 6enior o icers have the right to a''eal against the nding and?oroutcome o- a misconduct meeting or hearing. 9he a''eal in both cases ill bemade to the Police %''eals 9ribunal. 9he 'olice o icer should be in-ormed thatthe Police %''eals 9ribunal can increase an outcome im'osed as ell as reduceor overturn the decision o- the misconduct hearing or s'ecial case hearing.




CHAPTER "

Guidance on #nsatisfactor$ Perfor%ance and Attendance Procedures &#PPs'

1( General

Introduction

1. 1 9he -ormal 'rocedures to deal ith unsatis-actor 'er-ormance andattendance are set out in the Police ;Per-ormance< Regulations and are re-erred toin this guidance as ,PPs.

1.2 9he 'ur'ose o- this guidance is to hel' managers to decide ho and hen touse the -ormal 'rocedures in the Police ;Per-ormance< Regulations to manageunsatis-actor 'er-ormance or unsatis-actor attendance on the 'art o- 'oliceo icers. !uidance -ocussing s'eci call on attendance management can be -oundat Paragra'h +.1.

1.+ 9he underl ing 'rinci'le o- the 'rocedures is to 'rovide a -air& o'en and'ro'ortionate method o- dealing ith 'er-ormance and attendance issues and toencourage a culture o- learning and develo'ment -or individuals and theorganisation.

1./ 9he 'rocedures in the Police ;Per-ormance< Regulations are largel the samehether a''lied to unsatis-actor 'er-ormance or attendance ;the di erences that

do eCist are set out clearl in this guidance<. $o ever the issues that arise inattendance cases ma be di erent -rom those in 'er-ormance cases. 9his guidance

there-ore contains se'arate sections dealing ith 'er-ormance and attendancebe-ore a section on the 'rocedures.

1. 9he 'rimar aim o- the 'rocedures is to im'rove 'oor 'er-ormance andattendance in the 'olice service. It is envisaged that earl intervention viamanagement action should achieve the desired e ect o- im'roving and maintaininga 'olice o icer s 'er-ormance or attendance to an acce'table level.

1.4 9here ill& ho ever& be cases here it ill be a''ro'riate -or managers to ta:e-ormal action under the 'rocedures. %t the conclusion o- 'roceedings under theRegulations& one 'ossible outcome is that a 'olice o icerJs service ma beterminated.

1.7 9he ,PPs have been 're'ared b the $ome ice in consultation ith the %ssociation o- (hie- Police icers ;%(P <& the Police #ederation o- )ngland andAales ;P#)A<& the Police 6u'erintendentsJ %ssociation o- )ngland and Aales;P6%)A<& the (hie- Police icers 6ta %ssociation ;(P 6%<& the %ssociation o-Police %uthorities ;%P%<& the %ssociation o- Police %uthorit (hie- )Cecutives;%P%()<& $er 8a>est Js Ins'ectorate o- (onstabular ;$8I(<& the Inde'endentPolice (om'laints (ommission ;IP((< and the National Policing Im'rovement

%genc ;NPI%<.

+cope




1." 9he 'rocedures a''l to 'olice o icers u' to and including the ran: o- chie-su'erintendent.

1.5 9he 'rocedures a''l to all s'ecial constables. $o ever& given the nature o-s'ecial constables as un'aid volunteers& cases here the 'rocedures are initiated-or s'ecial constables ma be limited to those here the s'ecial constable eithercontests that his or her 'er-ormance or attendance is unsatis-actor or agrees thatit is unsatis-actor but eC'resses a desire to continue ith his or her s'ecialconstable duties. In other cases the s'ecial constable ma choose to resign -romhis or her role as a s'ecial constable. In setting meeting dates and establishing'anels& regard should be had to the nature o- s'ecial constables as volunteers homa have other or: or 'ersonal commitments.

1.10 9he 'rocedures do not a''l to student 'olice o icers during their'robationar 'eriod. 9he 'rocedures governing 'er-ormance and attendanceissues in res'ect o- 'olice students are determined locall b each -orce. 9hese'rocedures are under'inned b regulation 1+ o- the Police Regulations 200+.

Principles

1.11 Per-ormance and attendance management in the 'olice service are intendedto be 'ositive and su''ortive 'rocesses& ith the aim being to im'rove'er-ormance or attendance.

1.12 %ll unsatis-actor 'er-ormance and attendance matters should be handled in atimel manner hile maintaining con dence in the 'rocess. ,PPs should bea''lied -airl in both a non3discriminator and non3adversarial a and mattersmust be handled in the strictest con dence.

1.1+ Ahere the ,PPs are used& line managers in the 'olice service and othersinvolved in the 'rocess must act in a a hich an ob>ective observer ouldconsider reasonable. %t all times& the re*uirements o- the Police ;Per-ormance<Regulations must be com'lied ith.

1.1/ 9he im'ortance o- challenging unsatis-actor 'er-ormance or attendance o-individual 'olice o icers in the conteCt o- overall unit? -orce 'er-ormance and the'olice o icerJs 'ersonal develo'ment should not be underestimated. Dealingsensitivel and a''ro'riatel ith unsatis-actor 'er-ormance or attendance issues

does not constitute bull ing. I- a 'olice o icer believes that he or she is beingun-airl treated& he or she ma have available the avenues o- a''eal that eCist ateach stage o- the ,PPs.

1.1 % 'olice o icer ma see: legal advice at an time although legalre'resentation is con ned to third stage meetings here the 'rocedure has beeninitiated at this stage ;see 'aragra'h 7." on gross incom'etenceE<. Police o icersother than s'ecial constables can see: advice -rom their sta association and all'olice o icers can be advised and re'resented b their 'olice -riend in accordance

ith the 'rinci'les described in the introduction section o- the guidance.

1.14 In deciding matters o- -act the 'erson;s< conducting the ,PP meeting musta''l the standard o- 'roo- re*uired in civil cases& that is& the balance o- 'robabilities. ,nsatis-actor 'er-ormance or attendance ill be 'roved i- the




'erson;s< conducting the meeting is?are satis ed b the evidence that it is moreli:el than not that the 'er-ormance or attendance o- the 'olice o icer isunsatis-actor .

1.14% 9he balance o- 'robabilities is a single unvar ing standard ;i.e there is nosliding scale<. 9he more serious the allegation o- unsatis-actor 'er-ormance orattendance that is made or the more serious the conse*uences -or the individual

hich Lo -rom a nding against him or her& the more 'ersuasive ;cogent< theevidence ill need to be in order to meet that standard. 9his does not mean thatthe standard is higher. It means onl that the inherent 'robabilit or im'robabilito- the unsatis-actor 'er-ormance or attendance occurring is itsel- a matter to beta:en into account hen eighing the 'robabilit and deciding hether on balanceit has occurred.

1.14M 9here-ore in ma:ing a decision hether the 'er-ormance or attendance is'roven unsatis-actor or not& the 'erson;s< conducting the meeting ill need toeCercise reasonable >udgement and give a''ro'riate care-ul consideration to the

evidence.#ngoing perfor(ance assess(ent and re!ie-

1.17 )ver 'olice o icer should have some -orm o- 'er-ormance a''raisal& or hatis commonl re-erred to in most cases as a 'er-ormance and develo'ment revie E;PDR<. 9his should be the 'rinci'al method b hich the 'olice o icerJs'er-ormance and attendance is monitored and assessed. It is the res'onsibilit o-the line manager to set ob>ectives -or his or her sta and it is the res'onsibilit o-all 'olice o icers& ith a''ro'riate su''ort -rom management& to ensure that theboth understand and meet those ob>ectives. b>ectives set b the line managershould be s'eci c& measurable& achievable& relevant and time3related ;68%R9<.

1.1" 9he activities and behaviours eC'ected o- a 'olice o icer in order to achievehis or her ob>ectives should be in accordance ith the relevant national -rame or:

hich ill -orm the basis o- the 'olice o icerJs role 'ro le.

1.15 %n short-all in 'er-ormance or attendance should be 'ointed out at theearliest o''ortunit b the line manager and consideration given as to hetherthis is due to inade*uate instruction& training& su'ervision or some other reason.

1.20 #or national guidance on PDR im'lementation and im'rovement seeHhttp9::www.npia.police.u+:en:#"88%.htm

+ources of infor(ation

1.21 ,nsatis-actor 'er-ormance or attendance ill o-ten be identi ed b theimmediate line manager o- the 'olice o icer as 'art o- his or her normalmanagement res'onsibilities.

1.22 Ahere the 'olice o icer currentl or:s to a manager ho has no linemanagement res'onsibilit -or him or her& it is the res'onsibilit o- that manager

to in-orm the 'olice o icerJs line manager o- an 'er-ormance or attendance issueshe or she has identi ed.


http://www.npia.police.uk/en/17446.htm




1.27( Ahere the o icer concerned ob>ects to the com'lainant or interested'erson& or an 'erson accom'an ing him& being 'resent hile a submission ismade in mitigation on the o icerJs behal-& the 'erson conducting or chairing the'roceedings ma re*uire the com'lainant or interested 'erson& or an 'ersonaccom'an ing him& to ithdra hile the submission is made. 9he right o- theo icer to ob>ect in this a should be dra n to their attention b the 'ersonconducting or chairing the 'roceedings

1.27D 9he decision about hether to allo the com'lainant or interested 'erson&or an 'erson accom'an ing them& to remain or not is a decision -or the chairhaving considered re'resentations made b the o icer. I- the 'anel chair is notminded to grant the o icerJs re*uest immediatel & the com'lainant?interested'erson should be as:ed to leave the room under the general 'o er in regulation/0;1+< o- the Per-ormance Regulations hile the o icer ma:es a submission givingreasons h such 'ersons should be eCcluded hile submissions are made inmitigation. I- the com'lainant or interested 'erson has been eCcluded& the 'erson

conducting or chairing the meeting must& sub>ect to the need to :ee' themeCcluded -or an other reason& invite them bac: into the meeting -or thecommunication o- the nding and the outcome o- the 'roceedings.

.anage(ent action

1.2" 8anagers are eC'ected to deal ith unsatis-actor 'er-ormance orattendance issues in the light o- their :no ledge o- the individual and thecircumstances giving rise to these concerns.

1.25 9here are& ho ever& some generall ell understood 'rinci'les hich shoulda''l in such circumstancesH

;a< the line manager must discuss an shortcoming ;s< or concern ;s< ith theindividual at the earliest 'ossible o''ortunit . It ould be *uite rong -or theline manager to accumulate a list o- concerns about the 'er-ormance orattendance o- an individual and dela telling him or her about them until theoccasion o- the 'olice o icerJs annual or mid3term PDR ;or e*uivalent<meetingsK

;b< the reason -or dissatis-action must be made clear to the individual as soonas 'ossible and there must be a -actual basis -or discussing the issues i.e. thediscussion must relate to s'eci c incidents or omissions that have occurredK

;c< line managers should see: to establish hether there are an underl ingreasons -or the unsatis-actor 'er-ormance or attendance . #or eCam'le& in theconteCt o- 'er-ormance& a -ailure to 'er-orm a tas: correctl ma be becausethe individual as never told ho to do it or as a ected b 'ersonalcircumstances. In that case it ma be a''ro'riate -or the line manager toarrange -urther instruction or guidanceK

;d< consideration should be given as to hether there is an health or el-are

issue that is or ma be a ecting 'er-ormance or attendance. I- a 'olice o icerhas or ma have a disabilit ithin the sco'e o- the )*ualit %ct 2010 %ct this

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in 'articular needs to be ta:en -ull into account and the re*uirements o- thatlegislation com'lied ithK

;e< in cases here the di icult a''ears to stem -rom a 'ersonalit clash ith acolleague or line manager& or here -or other reasons a change o- duties mightbe a''ro'riate& the 'olice o icerJs line management ma & in consultation iththe a''ro'riate $R adviser& consider re3de'lo ment i- this 'rovides ano''ortunit -or the 'olice o icer to im'rove his or her 'er-ormance orattendance. Ahere a 'olice o icer is re3de'lo ed in this a & the 'olice o icerand his or her ne line management should be in-ormed o- the reasons -or themove and o- the assessment o- his or her 'er-ormance or attendance in the'revious roleK

;-< the line manager must ma:e it clear to the 'olice o icer that he or she isavailable to give -urther advice and guidance i- neededK

;g< de'ending on the circumstances& it ma be a''ro'riate to indicate to the

'olice o icer that i- there is no& or insu icient& im'rovement& then the matterill be dealt ith under the ,PPsK

;h< line managers are eC'ected to gather relevant evidence and :ee' acontem'oraneous note o- interactions ith the 'olice o icerK

;i< challenging unsatis-actor 'er-ormance or attendance in an a''ro'riatemanner does not constitute bull ing. In considering hether action constitutesbull ing& -orces should have regard to their local 'olic on bull ing.

1.+0 9he 'rinci'les outlined above cover the 'osition hen a line manager rstbecomes a are o- some unsatis-actor as'ect;s< o- the 'olice o icerJs 'er-ormanceor attendance and is dealing ith the issue as an integral 'art o- normal linemanagement res'onsibilities.

1.+1 8anagement action ta:en as a result o- identi- ing unsatis-actor'er-ormance or attendance should be 'ut on record hich ma be the 'oliceo icerJs PDR or e*uivalent. In 'articular& the line manager should record thenature o- the 'er-ormance or attendance issueK the advice given and ste's ta:en toaddress the 'roblems identi ed. Placing matters on record is im'ortant to ensurecontinuit in circumstances here one or more members o- the management chain

ma move on to other duties or the 'olice o icer concerned moves to ne duties.It is also im'ortant to 'ut on record hen im'rovement has been made in his orher 'er-ormance or attendance.

1.+2 Ideall & as a result o- management action& 'er-ormance or attendance illim'rove and continue to an acce'table level.

1.++ Ahere there is no im'rovement& insu icient im'rovement& or theim'rovement is not sustained over a reasonable 'eriod o- time ;'re-erabl agreedbet een the line manager and the 'olice o icer<& it ill then be a''ro'riate to usethe ,PPs.

1.+/ 9he 'eriod o- time agreed or determined b the line manager -or the 'oliceo icer concerned to im'rove his or her 'er-ormance or attendance 'rior to using

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the ,PPs must be su icient to 'rovide a reasonable o''ortunit -or the desiredim'rovement or attendance to ta:e 'lace and must be time limited.

1.+ 9his 'eriod ma be eCtended i-& due to some un-oreseen circumstance ;e.g.certi ed sic:ness absence in the conteCt o- 'er-ormance issues< the 'olice o iceris unable to demonstrate hether or not the re*uired im'rovement has beenachieved.

( Perfor%ance )ssues

Introduction

2.1 9he 'er-ormance o- individual 'olice o icers is a :e element in the deliver o-a *ualit 'olicing service. Police o icers should :no hat standard o-'er-ormance is re*uired o- them and be given a''ro'riate su''ort to attain thatstandard.

2.2 Per-ormance management is an integral 'art o- a line manager sres'onsibilities. 8anagers should let a 'olice o icer :no hen he or she is doingell or& i- the circumstances arise& hen there are the rst signs that there is a

need -or im'rovement in his or her 'er-ormance. %n essential 'art o- e ective linemanagement is that managers should be a are o- the contribution being made tomeeting the aims and ob>ectives o- the team b each o- the individuals themanage.

"nsatisfactory perfor(ance

2.+ ,nsatis-actor 'er-ormance ;or attendance< is de ned in Regulation / o- thePolice ;Per-ormance< Regulations asH

"an inability or failure of a police o icer to perform the duties of the role or rankhe [or she] is currently undertaking to a satisfactory standard or level."

Fra(e-or/ for action

2./ 9here is no single -ormula -or determining the 'oint at hich a concern about a'olice o icer s 'er-ormance should lead to -ormal 'rocedures under the Police;Per-ormance< Regulations being ta:en. )ach case must be considered on its

merits and there is no restriction on re-erring a''ro'riate cases straight to a rststage meeting here the manager considers it a''ro'riate to do so. $o ever the-ollo ing 'oints need to be em'hasisedH

• the intention o- 'er-ormance management including -ormal action under thePolice ;Per-ormance< Regulations is to im'rove 'er-ormanceK

• occasional minor la'ses belo acce'table standards ma be dealt ith in thecourse o- normal management activit and the a''lication o- the ,PPs manot be necessar K

• managers should be able to demonstrate that the have considered hethermanagement action is a''ro'riate be-ore using the ,PPs.

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"( Attendance )ssues

Introduction

+.1 9his 'art o- the guidance should be read in con>unction ith the guidance ondevelo'ing attendance management 'olicies ;see cha'ter /<. %ll -orces arere*uired to have an attendance management 'olic in 'lace. #ailure to do so or toadhere to the terms o- that 'olic could be ta:en into account under these'rocedures.

+.2 9he Police 6ervice is committed to 'roviding& as -ar as is reasonabl'racticable& a health and sa-e or:ing environment -or its 'olice o icers. Itrecognises that the health and el-are o- 'olice o icers is a :e element in thedeliver o- *ualit services& as ell as in maintaining career satis-action and stamorale.

+.+ 9he :e ob>ective o- attendance management 'olicies ithin -orces and thea''ro'riate use o- the Police ;Per-ormance< Regulations inso-ar as the relate tomanaging unsatis-actor attendance& is to encourage an attendance culture ithin-orces.

+./ 8anaging sic:ness absence is vitall im'ortant both in terms o- demonstratinga su''ortive attitude to ards 'olice o icers and -or the e icienc o- theorganisation. 8anaging attendance is about creating a culture here all 'artiesta:e o nershi' o- the 'olic and act reasonabl in the o'eration o- the scheme

ith managers being 'roactive in managing sic:ness.

+. 9he 'rimar aim o- the 'rocedures is to im'rove attendance in the 'oliceservice. It is envisaged that su''ortive action ill in most cases achieve thedesired e ect o- im'roving and maintaining a 'olice o icerJs attendance to anacce'table level.

+.4 9here ma ho ever be cases here it ill be a''ro'riate -or managers to ta:e-ormal action under the Per-ormance Regulations. %t the conclusion o- 'roceduresunder the Regulations& termination o- service is a 'ossible outcome.

+.7 Ahere the ,PPs are used in relation to attendance matters& such matters illnormall relate to 'eriods o- sic:ness absence such that the abilit o- the 'oliceo icer to 'er-orm his or her duties is com'romised.

+." ther -orms o- absence not related to genuine sic:ness ould normall bedealt ith under the misconduct 'rocedures e.g. here a 'olice o icerJs absenceis unauthorised.

Fra(e-or/ for action

+.5 %ttendance management in the 'olice service is intended to be a 'ositive andsu''ortive 'rocess to im'rove attendance. In all cases& the starting 'oint issu''ortive action. )Cce't here a 'olice o icer -ails to co3o'erate& a''ro'riatesu''ortive action must be ta:en be-ore -ormal action is ta:en under the

Version 2 – Revised November 2012 (/



Per-ormance Regulations. % -ailure b a 'olice o icer to co3o'erate ill not'revent -ormal action being ta:en or continued.

+.10 I- su''ortive action is ta:en& the 'olice o icer co3o'erates and the attendanceim'roves and is maintained at a satis-actor level& then there ill be no need tota:e -ormal action under the Per-ormance Regulations.

+.11 9here is no single -ormula -or determining the 'oint at hich concern about a'olice o icerJs attendance should lead to -ormal 'rocedures under thePer-ormance Regulations being invo:ed. )ach case must be considered on itsmerits. $o ever the -ollo ing 'oints need to be em'hasisedH

• 9he intention o- attendance management including -ormal action under thePolice ;Per-ormance< Regulations is to im'rove attendance.

• Ahere 'olice o icers are in>ured or ill the should be treated -airl andcom'assionatel .

• 8anagers should be able to demonstrate that the have acted reasonabl inall actions ta:en at all stages o- the attendance management 'rocess&including an action under the Police ;Per-ormance< Regulations.

• In cases here a decision is made at a third stage meeting to im'ose anoutcome& including dismissal -rom the service& then in most cases the 'oliceo icer ill have the right to a''eal to a 'olice a''eals tribunal.

.onitoring attendance+.12 %ll -orces must ensure that arrangements are in 'lace -or the e ectivemonitoring o- sic:ness absences ;and the reasons -or them<.

+.1+ It is the res'onsibilit o- line managers& in con>unction ith the -orceJs$uman Resources ;$R< de'artment i- necessar & to monitor a 'olice o icerJsattendance. % -ormal record o- a 'olice o icerJs 'eriod o- illness ill be :e't inaccordance ith Regulation 1 o- 9he Police Regulations 200+.

+.1/ $R managers should be consulted hen line managers are deciding hether

it might be a''ro'riate to use the ,PPs in relation to unsatis-actor attendance.

#ccupational health

+.1 9he -orce ccu'ational $ealth 6ervice is an essential 'art o- e ectiveattendance management and should be involved as soon as an concerns about a'olice o icerJs attendance are identi ed.

+.14 Ahere action is ta:en under the ,PPs in res'ect o- a 'olice o icerJsattendance& the 'olice o icer ma be re-erred to the ccu'ational $ealth 6ervice-or u' to date in-ormation and advice at an stage ithin the 'rocedure inaccordance ith -orce 'olic . 9his should enable the -orce to ma:e an in-ormeddecision about a 'olice o icerJs attendance. Ahere 'olice o icers do not attend

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a''ointments or other ise -ail to co3o'erate ith the -orceJs ccu'ational $ealth6ervice& an assessment ill be made on the in-ormation available.

+.17 9he role o- the #orceJs ccu'ational $ealth 6ervice is to advise on medicalissues a ecting a 'olice o icerJs 'er-ormance and attendance. Ahere the -orce hasconcerns about a 'olice o icerJs health and the e ect it has on his or her or: andattendance& it ma decide to see: medical advice on a range o- issues& includingbut not limited toH

;i< the nature and eCtent o- the 'olice o icerJs medical 'roblemsK

;ii< hen the medical 'roblem is li:el to be resolvedK

;iii< hether the 'olice o icer ill be t to carr out his?her duties on his or herreturn to or:K

;iv< the duties that the 'olice o icer ma be t to underta:eK

;v< hether the 'olice o icer is a disabled 'erson ithin the meaning o- the)*ualit %ct 2010K

;vi< hether there are an ad>ustments or ada'tations to the or:& e*ui'mentor or:'lace that might assist in im'roving attendanceK

;vii< the li:elihood o- the illness recurring or o- some other illness emergingK

;viii< an concerns raised b the 'olice o icer about their health and?oror:ing environmentK

;iC< hether the 'olice o icer ma be 'ermanentl disabled.

E uality Act )4B4 and other statutory o$ligations

+.1" In an unsatis-actor attendance case it is essential that managers and the-orce ensure com'liance ith their obligations under the )*ualit %ct.

+.15 (om'liance ith other statutor obligations including the Data Protection %ct

155" must also be ensured. Action under the Police 0Perfor(ance1 Regulations

+.20 #ormal action under the Per-ormance Regulations ma be ta:en in cases o-both unacce'table levels o- 'ersistent short3term absences and long3term absencesdue to sic:ness and?or in>ur . It should ho ever be noted that it is not 'ossible tobe 'rescri'tive about all circumstances here action under the Regulations mabe a''ro'riate. +.21 In deciding hether to ta:e action under the 'rocedures managers must treat

each case on its merits and consider all o- the 'ertinent -acts available to them&includingH




;i< the nature o- the illness& in>ur or conditionK

;ii< the li:elihood o- the illness& in>ur or condition ;or some other relatedillness& in>ur or condition< recurringK

;iii< the 'attern and length o- absence;s< and the 'eriod o- good healthbet een themK

;iv< the need -or the or: to be done i.e. hat im'act on the -orceJs'er-ormance and or:load is the absence havingK

;v< the eCtent to hich a 'olice o icer has co3o'erated ith su''ortivemanagement actionK

;vi< hether the 'olice o icer as made a are& in the earlier su''ortiveaction& that unless an im'rovement as made& action under the Per-ormance

Regulations might be usedK ;vii< hether the selected medical 'ractitioner ;68P< has been as:ed b thelocal 'olicing bod to consider the issue o- 'ermanent disablement and?or thelocal 'olicing bod is considering medical retirementK

;viii< the im'act o- the )*ualit %ct 2010.

+.22 Ahether it is a''ro'riate to ta:e -ormal action in an 'articular case illde'end on the :no n merits and -acts o- that case. 9here is no restriction onta:ing action under the ,PPs in relation to 'revious unsatis-actor attendancenot ithstanding that the o icer has no returned to or:.

*( The #PP Process

+tages

/.1 9here are 'otentiall three stages to the ,PPs& each o- hich involves adi erent meeting com'osition and 'ossible outcomes.

/.2 % line manager can as: a $R 'ro-essional or 'olice o icer ; ho should haveeC'erience o- ,PPs and be inde'endent o- the line management chain< to attend a,PP meeting to advise him or her on the 'roceedings at the rst stage meeting. %line manager ma also obtain such advice 'rior to a rst stage meeting i- he or sheis in an doubt about the 'rocess. 9he second line manager ma also have anadvisor ;as above< in res'ect o- the second stage meeting. #or stage threemeetings& an $R 'ro-essional& 'olice o icer& counsel or solicitor ma attend themeeting to advise the 'anel on the 'roceedings.

I(pro!e(ent notices and action plans

/.+ %t the rst and second stages& i- it is -ound that the 'olice o icerJs'er-ormance or attendance is unsatis-actor & an im'rovement notice ill be issued.




Im'rovement notices re*uire a 'olice o icer to im'rove on his or her 'er-ormanceor attendance and must stateH

• in hat res'ect the 'olice o icerJs 'er-ormance or attendance is consideredunsatis-actor K

•

the im'rovement in 'er-ormance or attendance re*uired to bring the 'oliceo icer to an acce'table standardK

• a s'eci ed 'eriodE ;see 'aragra'h /. & belo < ithin hich im'rovement iseC'ected to be madeK and

• the validit 'eriodE ;see 'aragra'h /.4& belo < o- the ritten im'rovementnoticeK

/./ 9he im'rovement notice should also in-orm the 'olice o icer o- the 'ossibleconse*uences i- im'rovement is not made or maintained ithin the 'eriods'eci ed b the a''ro'riate manager or 'anel ;as a''licable< or ithin the 12month validit 'eriod& i.e. that he or she ma be re*uired to attend the neCt stageo- the 'rocedures.

/. 9he s'eci ed 'eriodE o- an im'rovement notice is a 'eriod s'eci ed b themanager conducting the meeting ;having considered an re'resentations made bor on behal- o- the 'olice o icer< ithin hich the 'olice o icer must im'rove hisor her 'er-ormance or attendance. It is eC'ected that the s'eci ed 'eriod -orim'rovement ould not normall eCceed + months. $o ever& de'ending on thenature and circumstances o- the matter& it ma be a''ro'riate to s'eci- a longer

or shorter 'eriod -or im'rovement ;but hich should not eCceed 12 months<./.4 9he validit 'eriodE o- an im'rovement notice describes the 'eriod o- 12months -rom the date o- the notice ithin hich 'er-ormance or attendance mustbe maintained ;assuming im'rovement is made during the s'eci ed 'eriod<. I- theim'rovement is not maintained ithin this 'eriod then the neCt stage o- the'rocedures ma be used ;see also 'aragra'h /.12<.

/.7 Im'rovement notices must be accom'anied b the ritten record o- themeeting and a notice in-orming the 'olice o icer o- his or her right to a''ealagainst the nding or terms o- the im'rovement notice ;or both o- these<.#ollo ing a second stage meeting& that documentation must also in-orm the 'oliceo icer o- his or her right to a''eal against the decision to re*uire him or her toattend the meeting. %n such a''eal can onl be made on the ground that themeeting did not concern unsatis-actor 'er-ormance or attendance hich assimilar to or connected ith that re-erred to in the ritten im'rovement notice.

/." Aritten im'rovement notices must be signed and dated b the 'ersonres'onsible -or issuing the notice e.g. in the case o- an im'rovement notice issued-ollo ing a second stage meeting& b the second line manager.

/.5 %n im'rovement notice ould normall incor'orate an action 'lan. %n action'lan describes hat action;s< the 'olice o icer should ta:e hich should hel' himor her achieve and maintain the im'rovement re*uired and ould normall be




-ormulated and agreed b both the 'olice o icer ;and his or her 'olice -riend i-desired< and his or her line manager. In 'articular& the action 'lan shouldH

• identi- an ea:nesses hich ma be the cause o- unsatis-actor'er-ormance or attendanceK

•

describe hat ste's the 'olice o icer must ta:e to im'rove 'er-ormanceand?or attendance and hat su''ort is available -rom the organisation e.g.training and su''ortK

• s'eci- a 'eriod ithin hich actions identi ed should be -ollo ed u'K and

• set a date ;s< -or a staged revie ;s< o- the 'olice o icerJs 'er-ormance orattendance.

I(pro!e(ent notice e=tensions and suspensions

/.10 n the a''lication o- the 'olice o icer or other ise ;e.g. on the a''lication o-his or her line manager<& the a''ro'riate authorit ma eCtend the s'eci edE'eriod i- it considers it a''ro'riate to do so. 9his 'rovision is intended to deal ithsituations that ere not -oreseen at the time o- the issue o- the im'rovementnotice. #or eCam'le& here the 'olice o icer has not had su icient time to im'rovedue to an emergenc de'lo ment to other duties.

/.11 In setting an eCtension to the s'eci ed 'eriod& consideration should be givento an :no n 'eriods o- eCtended absence -rom the 'olice o icerJs normal role e.g.i- the 'olice o icer is going to be on long 'eriods o- 're3'lanned holida leave&

stud leave& or is due to undergo an o'eration. 9he eCtension should not lead tothe im'rovement 'eriod eCceeding 12 months unless the a''ro'riate authorit issatis ed that there are eCce'tional circumstances ma:ing this a''ro'riate. 9hesecircumstances should be recorded.

/.12 9he 'eriod -or im'rovement under an im'rovement notice and the validit'eriod o- an im'rovement notice do not include an time that the 'olice o icer ista:ing a career brea:. #or eCam'le& i- a 'olice o icer is issued ith anim'rovement notice ith a s'eci ed 'eriod o- + months and then ta:es careerleave t o months into the notice& henever the 'olice o icer returns& he or she

ill have one month le-t o- the + month s'eci ed 'eriod and ten months o- the validit 'eriod o- the notice.

Initiation of procedures at stage three

/.1+ In ver limited circumstances& eC'lained in more detail in 'aragra'h 7."& it is'ossible to commence the ,PPs at the third stage. 9his is to allo -or cases o- adegree o- severit such that initiation at this stage is the onl a''ro'riate o'tion.

/.1/ In these cases onl the 'olice o icer is entitled to choose to be legallre'resented b counsel or a solicitor.

.ultiple instances of unsatisfactory perfor(ance




/.1 % 'olice o icer can move to a later stage o- the ,PPs onl in relation tounsatis-actor 'er-ormance or attendance that is similar to or connected ith theunsatis-actor 'er-ormance or attendance re-erred to in an 'revious rittenim'rovement notice. Ahere -ailings relate to di erent -orms o- unsatis-actor'er-ormance or attendance it ill be necessar to commence the ,PPs at the rststage ;unless the -ailing constitutes gross incom'etence<. I- more than one ,PP iscommenced& then& given that the 'rocedures ill relate to di erent -ailings and

ill have been identi ed at di erent times& the nding and outcome o- each shouldbe ithout 're>udice to the other;s<.

/.14 $o ever& there ma be circumstances here 'rocedures have been initiated-or a 'articular -ailing and an additional -ailing comes to light 'rior to the rststage meeting. In such circumstances it is 'ossible to consolidate the t o issues atthe rst stage meeting 'rovided that there is su icient time 'rior to the meeting tocom'l ith the noti cation re*uirements eC'lained in more detail belo . I- this isnot 'ossible& the rst stage meeting should either be rearranged to a date hichallo s the re*uirements to be met or a se'arate rst stage meeting should be held

in relation to the additional matter.

+( The First Sta,e

Preparation and purpose

.1 $aving considered the use o- management action ;see 'aragra'h 1.2"<& here aline manager considers that a 'olice o icerJs 'er-ormance or attendance isunsatis-actor and decides that the ,PPs are the most a''ro'riate a o-addressing the matter;s<& he or she ill noti- the 'olice o icer in riting that heor she is re*uired to attend a rst stage meeting and include in that noti cationthe -ollo ing detailsH

• details o- the 'rocedures -or determining the date and time o- the meeting;see 'aragra'h .7<K

• a summar o- the reasons h the line manager considers the 'olice o icerJs'er-ormance or attendance unsatis-actor K

• the 'ossible outcomes o- a rst stage& second stage and third stage meetingK

• that a human resources 'ro-essional or a 'olice o icer ; ho should haveeC'erience o- ,PPs and be inde'endent -rom the line management chain<ma attend the meeting to advise the line manager on the 'roceedingsK

• that i- the 'olice o icer agrees& an other 'erson s'eci ed in the notice maattend the meetingK

• that 'rior to the meeting the 'olice o icer must 'rovide the line managerith an documentation he or she intends to rel on in the meetingK and&

• the 'olice o icerJs rights i.e. his or her right to see: advice -rom are'resentative o- his or her sta association ;in the case o- a member o- the

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'olice -orce< and to be accom'anied and re'resented at the meeting b a'olice -riend.

.1% Ahere the 'olice o icer concerned raises a grievance or other ise ob>ects tothe manager holding a rst stage meeting ;-or eCam'le citing a 'ersonalit clash<then the meeting ill still be held b the manager and i- the o icer considers thathe or she has grounds -or a''eal the ob>ection o- the o icer should be handledthrough that 'rocess. 9his is ithout 're>udice to the 'o er -or a senior managerto a''oint another 'erson to carr out an o- the -unctions o- the line manager i-a''ro'riate.

.2 9he notice shall be accom'anied b co'ies o- related documentation reliedu'on b the line manager in su''ort o- the vie that the 'olice o icerJs'er-ormance or attendance is unsatis-actor .

.+ In advance o- the meeting& the 'olice o icer must 'rovide the line manager ithan documents on hich he or she intends to rel in su''ort o- his or her case.

./ %n document or other material that as not submitted in advance o- themeeting ma be considered at the meeting at the discretion o- the line manager. 9he'ur'ose o- allo ing this discretion is to ensure -airness to all 'arties. $o ever the'resum'tion should be that such documents or material ill not be 'ermitted unlessit can be sho n that the ere not 'reviousl available to be submitted in advance.Ahere such a document or other material is 'ermitted to be considered& a shortad>ournment ma be necessar to enable the line manager or the 'olice o icer& asthe case ma be& to read or consider the document or other material and consider itsim'lications. 9he length o- the ad>ournment ill de'end u'on the case. % longerad>ournment ma be necessar i- the material in *uestion is com'leC.

. 9he 'ur'ose o- the meeting is to hear the evidence o- the unsatis-actor'er-ormance or attendance and to give the 'olice o icer the o''ortunit to 'ut-or ard his or her vie s. It ill also be an o''ortunit to hear o- an -actors thatare a ecting the 'olice o icerJs 'er-ormance or attendance and hat the 'oliceo icer considers can be done to address them.

.4 9he line manager should eC'lain that there are 'otentiall three stages to the'rocedures and that the maCimum outcome o- a stage one meeting is anim'rovement notice and the maCimum outcome o- a stage t o meeting is a nal

im'rovement notice. 9he line manager ill also eC'lain that i- the 'rocedure is-ollo ed to the nal stage& dismissal& a reduction in ran: ;in the case o- a membero- a 'olice -orce and in 'er-ormance cases onl <& rede'lo ment to alternativeduties or an eCtended im'rovement notice ;in eCce'tional circumstances< are'ossible outcomes.

.7 Aherever 'ossible& the meeting date and time should be agreed bet een theline manager and the 'olice o icer. $o ever& here agreement cannot be reachedthe line manager must s'eci- a time and date. I- the 'olice o icer or his or her'olice -riend is not available at the date or time s'eci ed b the line manager& the'olice o icer ma 'ro'ose an alternative time. Provided that the alternative time is

reasonable and -alls ithin a 'eriod o- or:ing da s beginning ith the rstor:ing da a-ter that s'eci ed b the line manager& the meeting must be

'ost'oned to that time.

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." nce the date -or the meeting is Ced& the line manager should send to the'olice o icer a notice in riting o- the date& time and 'lace o- the rst stagemeeting. 9his noti cation o- the date and time o- the meeting ma be given at thesame time as the notice re*uiring the 'olice o icer to attend a rst stage meeting.

At the First +tage (eeting

.5 %t the rst stage meeting the line manager illH

a. eC'lain to the 'olice o icer the reasons h the line manager considers thatthe 'er-ormance or attendance o- the 'olice o icer is unsatis-actor K

b. 'rovide the 'olice o icer ith the o''ortunit to ma:e re'resentations inres'onseK

c. 'rovide his or her 'olice -riend ;i- he or she has one< ith an o''ortunit to

ma:e re'resentations ;see Role o- Police #riend <K

d. listen to hat the 'olice o icer ;and?or his or her 'olice -riend< has to sa & as:*uestions and comment as a''ro'riate.

.10 9he line manager ma ad>ourn the meeting at an time i- he or she considersit is necessar or eC'edient to do so. %n ad>ournment ma be a''ro'riate herein-ormation hich needs to be chec:ed b the line manager emerges during thecourse o- the meeting or the manager decides that he or she ishes to ad>ourn themeeting hilst he or she ma:es a decision.

.11 Ahere the line manager nds that the 'er-ormance or attendance o- the'olice o icer has been satis-actor during the 'eriod in *uestion& he or she illin-orm the 'olice o icer that no -urther action ill be ta:en.

.12 Ahere having considered an re'resentations b either the 'olice o icer and?or his or her 'olice -riend& the line manager nds that the 'er-ormance orattendance o- the 'olice o icer has been unsatis-actor he or she shallH

a. in-orm the 'olice o icer in hat res'ect ;s< his or her 'er-ormance orattendance is considered unsatis-actor K

b. in-orm him or her o- the im'rovement that is re*uired in his or her'er-ormance or attendanceK

c. in-orm the 'olice o icer that& i- a su icient im'rovement is not made ithinthe 'eriod s'eci ed b the line manager& he or she ma be re*uired to attenda second stage meeting.

d. in-orm the 'olice o icer that he or she ill receive a ritten im'rovementnotice.

e. in-orm the 'olice o icer that i- the su icient im'rovement in his or her'er-ormance or attendance is not maintained during the validit 'eriod o-such notice he or she ma be re*uired to attend a second stage meeting.

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.1+ It is eC'ected that the s'eci ed 'eriod -or im'rovement ould not normalleCceed + months. $o ever& de'ending on the nature and circumstances o- thematter& it ma be a''ro'riate to s'eci- a longer or shorter 'eriod -or im'rovement;but hich should not eCceed 12 months<.In determining the s'eci ed 'eriod o- anim'rovement notice& consideration should also be given to an 'eriods o- :no neCtended absence -rom the 'olice o icerJs normal role.

Procedure follo-ing the First +tage (eeting

.1/ %s soon as reasonabl 'racticable& -ollo ing the meeting& the line managershall cause to be 're'ared a ritten record o- the meeting and& here he or she-ound at the meeting that the 'er-ormance or attendance o- the 'olice o icer asunsatis-actor & a ritten im'rovement notice. 9he ritten record and anim'rovement notice shall be sent to the o icer as soon as reasonabl 'racticablea-ter the have been 're'ared. 9he ritten record su''lied to the 'olice o icershould com'rise a summar o- the 'roceedings at that meeting.

.1 %n ritten im'rovement notice must set out the in-ormation conve ed to the'olice o icer in 'aragra'h .12& state the 'eriod -or hich it is valid and be signedand dated b the line manager. %n im'rovement notice must be accom'anied ba notice in-orming the 'olice o icer o- his or her right to a''eal and the name o-the 'erson to hom the a''eal should be sent. 9he notice must also in-orm the'olice o icer o- his or her right to submit ritten comments on the ritten recordo- the meeting and o- the 'rocedure -or doing so.

.14 9he 'olice o icer ma submit ritten comments on the ritten record notlater than the end o- 7 or:ing da s a-ter the date that he or she received it;unless an eCtension has been granted b the line manager -ollo ing ana''lication b the 'olice o icer<. %n ritten comments 'rovided b the 'oliceo icer should be retained ith the note. $o ever& i- the 'olice o icer haseCercised his or her right to a''eal against the nding or outcome o- the rst stagemeeting& the 'olice o icer ma not submit comments on the ritten record.

.17 It is the res'onsibilit o- the line manager to ensure that the ritten record&ritten im'rovement notice and an ritten comments o- the 'olice o icer

regarding the ritten record are retained together and led in accordance ith-orce 'olicies.

.1" Normall it ill be a''ro'riate to incor'orate an action 'lan ;see 'aragra'h/.5< setting out the actions hich should assist the 'olice o icer to 'er-orm his orher duties to an acce'table standard. I- 'ossible the action 'lan should be agreed&either at the ,PP meeting or at a later time s'eci ed b the line manager. It iseC'ected that the 'olice o icer ill co3o'erate ith im'lementation o- the action'lan and ta:e res'onsibilit -or his or her o n develo'ment or im'rovement.)*uall & the 'olice o icerJs managers must ensure that an actions to su''ort the'olice o icer to im'rove are im'lemented.

Assess(ent of Perfor(ance or Attendance

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.15 It is eC'ected that the 'olice o icerJs 'er-ormance or attendance ill beactivel monitored against the im'rovement notice and& here a''licable& theaction 'lan b the line manager throughout the s'eci ed 'eriod o- theim'rovement notice. 9he line manager should discuss ith the 'olice o icer anconcerns that the line manager has during this 'eriod as regards his or her'er-ormance or attendance and o er advice and guidance here a''ro'riate.

.20 %s soon as reasonabl 'racticable a-ter the s'eci ed 'eriod o- the im'rovementnotice comes to an end& the line manager& in consultation ith the second linemanager or an $R 'ro-essional ;or both<& must -ormall assess the 'er-ormance orattendance o- the 'olice o icer during that 'eriod.

.21 I- the line manager considers that the 'olice o icerJs 'er-ormance orattendance is satis-actor & the line manager should noti- the 'olice o icer in ritingo- this. 9he noti cation should also in-orm the 'olice o icer that hilst the'er-ormance or attendance o- the 'olice o icer is no satis-actor & the im'rovementnotice is valid -or a 'eriod o- 12 months -rom the date 'rinted on the notice so that it

is 'ossible -or the second stage o- the 'rocedures to be initiated i- the 'er-ormanceor attendance o- the 'olice o icer -alls belo an acce'table level ithin theremaining 'eriod.

.22 I- the line manager considers that the 'olice o icer s 'er-ormance orattendance is still unsatis-actor & the line manager should noti- the 'olice o icer in

riting o- this. 9he line manager must also noti- the 'olice o icer that he or she isre*uired to attend a second stage meeting to consider these ongoing 'er-ormance orattendance issues.

. 2+ I- the 'olice o icer has im'roved his or her 'er-ormance or attendance to anacce'table standard ithin the s'eci ed im'rovement 'eriod& but then -ails tomaintain that standard ithin the 12 month validit 'eriod& it is o'en to the linemanager to initiate stage t o o- the 'rocedures.

.2/ In such circumstances the line manager must noti- the 'olice o icer inriting o- his or her vie that the 'olice o icerJs 'er-ormance or attendance is

unsatis-actor as the 'olice o icer has -ailed to maintain the im'rovement and thatas a conse*uence the 'olice o icer is re*uired to attend a second stage meeting todiscuss his or her -ailure to maintain a satis-actor standard o- 'er-ormance orattendance.

.2 Ahere an o icer is re*uired to attend a second stage meeting and at thatmeeting it is -ound that the o icer has im'roved& he or she can still be re*uired toattend another second stage meeting i- he or she does not maintain his or herim'rovement ithin the 12 months that the im'rovement notice is valid.

First +tage appeals

.24 % 'olice o icer has a right o- a''eal against the nding and the terms o- theim'rovement notice im'osed at stage one o- the ,PPs. $o ever& an nding andoutcome o- this rst stage meeting ill continue to a''l u' to the date that the

a''eal is determined. 9here-ore here the 'olice o icer contests the nding oroutcome& he or she should continue to -ollo the terms o- the im'rovement noticeand an accom'an ing action 'lan 'ending the determination o- the a''eal.

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.27 %n a''eal should be made in riting to the second line manager ithin 7or:ing da s -ollo ing the da o- the recei't o- the im'rovement notice andritten record o- the meeting ;unless the 'eriod is eCtended b the second line

manager -ollo ing an a''lication b the 'olice o icer<. 9he notice o- a''eal mustclearl set out the grounds and evidence -or the a''eal.

Appeal grounds

.2" 9he grounds -or a''eal areH

- that the nding o- unsatis-actor 'er-ormance or attendance is unreasonableK- that an o- the terms o- the im'rovement notice are unreasonableK- that there is evidence that could not reasonabl have been considered at the

rst stage meeting hich could have materiall a ected the nding o-unsatis-actor 'er-ormance or attendance or an o- the terms o- the rittenim'rovement noticeK

- that there as a breach o- the 'rocedures set out in the Police ;Per-ormance<Regulations or other un-airness hich could have materiall a ected the

nding o- unsatis-actor 'er-ormance or attendance or the terms o- theim'rovement notice.

.25 n the basis o- the above grounds o- a''eal& the 'olice o icer ma a''ealagainst the nding o- unsatis-actor 'er-ormance or attendance or the terms o- the

ritten im'rovement notice& those beingH

• the res'ect in hich the 'olice o icerJs 'er-ormance or attendance is

considered unsatis-actor K• the im'rovement hich is re*uired o- the 'olice o icerK and? or

• the length o- the 'eriod s'eci ed -or im'rovement b the line manager at therst stage meeting.

.+0 9he 'olice o icer has the right to be accom'anied and re'resented b a'olice -riend at the rst stage a''eal meeting.

.+1 Aherever 'ossible& the meeting date and time should be agreed bet een thesecond line manager and the 'olice o icer. $o ever& here agreement cannot bereached the second line manager must s'eci- a time and date. I- the 'olice o iceror his or her 'olice -riend is not available at the date or time s'eci ed b thesecond line manager& the 'olice o icer ma 'ro'ose an alternative time. Providedthat the alternative time is reasonable and -alls ithin a 'eriod o- or:ing da sbeginning ith the rst or:ing da a-ter that s'eci ed b the second linemanager& the meeting must be 'ost'oned to that time.

.+2 nce a date -or the meeting is Ced& the second line manager should send tothe 'olice o icer a notice in riting o- the date& time and 'lace o- the rst stage

a''eal meeting together ith the in-ormation re*uired to be 'rovided underRegulation 15 o- the Per-ormance Regulations.

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• the details o- the 'rocedures -or determining the date and time o- themeeting ;see 'aragra'h 4."<K

• a summar o- the reasons h the line manager considers the 'olice o icerJs'er-ormance or attendance unsatis-actor K

•

the 'ossible outcomes o- a second stage and third stage meetingK• that the line manager ma attend the meetingK

• that a human resources 'ro-essional or a 'olice o icer ; ho should haveeC'erience o- ,PPs and be inde'endent -rom the line management chain<ma attend the meeting to advise the second line manager on the'roceedingsK

• that i- the 'olice o icer agrees& an other 'erson s'eci ed in the notice maattend the meetingK

• that 'rior to the meeting the 'olice o icer must 'rovide the second linemanager ith an documentation he or she intends to rel on in the meetingKand

• the 'olice o icerJs rights i.e. his or her right to see: advice -rom are'resentative o- his or her sta association ;in the case o- a member o- the'olice -orce< and to be accom'anied and re'resented at the meeting b a'olice -riend.

4.+ 9he notice must also include co'ies o- related documentation relied u'on bthe line manager in su''ort o- the vie that the 'olice o icerJs 'er-ormance orattendance continues to be unsatis-actor .

4./ In advance o- the meeting& the 'olice o icer must 'rovide the second linemanager ith an documents on hich he or she intends to rel on in su''ort o-his or her case.

4. %n document or other material that as not submitted in advance o- themeeting ma be considered at the meeting at the discretion o- the second linemanager. 9he 'ur'ose o- allo ing this discretion is to ensure -airness to all 'arties.$o ever the 'resum'tion should be that such documents or other material ill notbe 'ermitted unless it can be sho n that the ere not 'reviousl available to besubmitted in advance. Ahere such a document or other material is 'ermitted to beconsidered& a short ad>ournment ma be necessar to enable the second linemanager or the 'olice o icer& as the case ma be& to read or consider thedocument or other material and consider its im'lications. 9he length o- thead>ournment ill de'end u'on the case. % longer ad>ournment ma be necessar i- the material in *uestion is com'leC.

4.4 9he 'ur'ose o- the meeting is to hear the evidence o- the unsatis-actor

'er-ormance or attendance and to give the 'olice o icer the o''ortunit to 'ut-or ard his or her vie s. It ill also be an o''ortunit to hear o- an -actors that




are continuing to a ect the 'olice o icerJs 'er-ormance or attendance and hatthe 'olice o icer considers can be done to address them.

4.7 9he second line manager should eC'lain that there is 'otentiall a -urtherstage to the 'rocedures and that the maCimum outcome o- stage t o is a nalim'rovement notice. 9he second line manager ill also eC'lain that i- the'rocedure is -ollo ed to the nal stage& dismissal& a reduction in ran: ;in the caseo- a member o- a 'olice -orce and in 'er-ormance cases onl <& rede'lo ment toalternative duties or an eCtended im'rovement notice ;in eCce'tionalcircumstances< are 'ossible outcomes.

4." Aherever 'ossible& the meeting date and time should be agreed bet een thesecond line manager and the 'olice o icer. $o ever& here agreement cannot bereached the second line manager must s'eci- a time and date. I- the 'olice o iceror his or her 'olice -riend is not available at the date or time s'eci ed b thesecond line manager& the 'olice o icer ma 'ro'ose an alternative time. Providedthat the alternative time is reasonable and -alls ithin a 'eriod o- or:ing da s

beginning ith the rst or:ing da a-ter that s'eci ed b the second linemanager& the meeting must be 'ost'oned to that time.

4.5 nce a date -or the meeting is Ced& the second line manager should send tothe 'olice o icer a notice in riting o- the date& time and 'lace o- the second stagemeeting.

At the second stage (eeting

4.10 %t the second stage meeting the second line manager illH

a. eC'lain to the 'olice o icer the reasons h he or she has been re*uired toattend a second stage meetingK

b. 'rovide the 'olice o icer ith the o''ortunit to ma:e re'resentations inres'onseK

c. 'rovide the 'olice o icerJs 'olice -riend ;i- he or she has one< ith ano''ortunit to ma:e re'resentations ;see Role o- Police #riend<K

d. listen to hat the 'olice o icer ;and?or his or her 'olice -riend< has to sa & as:*uestions and comment as a''ro'riateK

4.11 9he second line manager ma ad>ourn the meeting at an time i- he or she

considers it is necessar or eC'edient to do so. %n ad>ournment ma bea''ro'riate here in-ormation hich needs to be chec:ed b the line manageremerges during the course o- the meeting or the manager decides that he or she

ishes to ad>ourn the meeting hilst he or she ma:es a decision.

4.12 Ahere the line manager nds that the 'er-ormance or attendance o- the'olice o icer has been satis-actor during the 'eriod in *uestion& he or she illin-orm the 'olice o icer that no -urther action ill be ta:en.

4.1+ Ahere& having considered an re'resentations b either the 'olice o icerand? or his or her 'olice -riend& the second line manager nds that the

'er-ormance or attendance o- the 'olice o icer has been unsatis-actor ;eitherduring the 'eriod s'eci ed in the ritten im'rovement notice or during the validit 'eriod o- the ritten im'rovement notice< he or she shallH




a. in-orm the 'olice o icer in hat res'ect ;s< his or her 'er-ormance orattendance is considered unsatis-actor K

b. in-orm the 'olice o icer o- the im'rovement that is re*uired in his or her'er-ormance or attendanceK

c. in-orm the 'olice o icer that& i- a su icient im'rovement is not madeithin the 'eriod s'eci ed b the second line manager & he or she ma

be re*uired to attend a third stage meeting.

d. in-orm the 'olice o icer that he or she ill receive a nal rittenim'rovement noticeK and

e. in-orm the 'olice o icer that i- the su icient im'rovement in his or her'er-ormance or attendance is not maintained during the validit 'eriodo- such notice& he or she ma be re*uired to attend a third stage

meeting.

4.1/ It is eC'ected that the s'eci ed 'eriod -or im'rovement ould not normalleCceed + months. $o ever& de'ending on the nature and circumstances o- thematter& it ma be a''ro'riate to s'eci- a longer or shorter 'eriod -or im'rovement;but hich should not eCceed 12 months<. In determining the s'eci ed 'eriod o- anim'rovement notice& consideration should also be given to an 'eriods o- :no neCtended absence -rom the 'olice o icerJs normal role.

Procedure follo-ing the second stage (eeting

4.1 %s soon as reasonabl 'racticable -ollo ing the meeting& the second linemanager ill cause to be 're'ared a ritten record o- the meeting and& here heor she -ound at the meeting that the 'er-ormance or attendance o- the 'oliceo icer as unsatis-actor & a nal ritten im'rovement notice. 9he ritten recordand an im'rovement notice shall be sent to the o icer as soon as reasonabl'racticable a-ter the have been 're'ared. 9he ritten record su''lied to the'olice o icer should com'rise a summar o- the 'roceedings at that meeting.

4.14 9he ritten im'rovement notice must set out the in-ormation conve ed to the'olice o icer in 'aragra'h 4.1+& state the 'eriod -or hich it is valid& and be

signed and dated b the second line manager. %n im'rovement notice must beaccom'anied b a notice in-orming the 'olice o icer o- his or her right to a''ealand the name o- the 'erson to hom the a''eal should be sent. 9he notice mustalso in-orm the 'olice o icer o- his or her right to submit ritten comments on the

ritten record o- the meeting and o- the 'rocedure -or doing so.

4.17 9he 'olice o icer ma submit ritten comments on the ritten record notlater than the end o- 7 or:ing da s a-ter the date that he or she received it;unless an eCtension has been granted b the second line manager -ollo ing ana''lication b the 'olice o icer<. %n ritten comments 'rovided b the 'oliceo icer should be retained ith the note. $o ever& i- the 'olice o icer has

eCercised his or her right to a''eal against the nding or outcome o- the secondstage meeting& the 'olice o icer ma not submit comments on the ritten record.




4.1" It is the res'onsibilit o- the second line manager to ensure that the rittenrecord& ritten im'rovement notice and an ritten comments o- the 'olice o iceron the ritten record are retained together and led in accordance ith -orce'olicies.

4.15 Normall it ill also be a''ro'riate to incor'orate an action 'lan ;see'aragra'h /.5< setting out the actions hich ma assist the 'olice o icer to'er-orm his or her duties to an acce'table standard e.g. attending training coursesor a recommendation that the 'olice o icer see: el-are or medical advice. I-'ossible the action 'lan should be agreed& either at the ,PP meeting or at a latertime s'eci ed b the line manager. It is eC'ected that the 'olice o icer ill co3o'erate ith im'lementation o- the action 'lan and ta:e res'onsibilit -or his orher o n develo'ment or im'rovement. )*uall & the 'olice o icerJs managers mustensure that an actions to su''ort the 'olice o icer to im'rove are im'lemented.

Assess(ent of perfor(ance or attendance

4.20 It is eC'ected that the 'olice o icerJs 'er-ormance or attendance ill beactivel monitored against the im'rovement notice and& here a''licable& theaction 'lan b the line manager throughout the s'eci ed 'eriod o- the nalim'rovement notice. 9he line manager should discuss ith the 'olice o icer anconcerns that the line manager has during this 'eriod as regards his or her'er-ormance or attendance and o er advice and guidance here a''ro'riate.

4.21 %s soon as reasonabl 'racticable a-ter the s'eci ed 'eriod o- the im'rovementnotice comes to an end& the line manager& in consultation ith the second linemanager or an $R 'ro-essional ;or both<& must -ormall assess the 'er-ormance orattendance o- the 'olice o icer during that 'eriod.

4.22 I- the line manager considers that the 'olice o icerJs 'er-ormance orattendance is satis-actor & the line manager should noti- the 'olice o icer in ritingo- this. 9he line manager must also noti- the 'olice o icer that hilst the'er-ormance or attendance o- the 'olice o icer is no satis-actor & the nalim'rovement notice is valid -or a 'eriod o- 12 months -rom the date 'rinted on thenotice so that it is 'ossible -or stage three o- the 'rocedures to be initiated i- the'er-ormance or attendance o- the 'olice o icer -alls belo an acce'table level ithinthe remaining 'eriod.

4.2+ I- the line manager considers that the 'olice o icerJs 'er-ormance orattendance is still unsatis-actor & the line manager should noti- the 'olice o icerin riting o- this. 9he noti cation should also in-orm the 'olice o icer that he orshe is re*uired to attend a third stage meeting to consider these ongoing'er-ormance or attendance issues.

4.2/ I- the 'olice o icer has im'roved his or her 'er-ormance or attendance to anacce'table standard ithin the s'eci ed im'rovement 'eriod& but then -ails tomaintain that standard ithin the 12 month validit 'eriod& it is o'en to the linemanager to initiate stage three o- the 'rocedures.

4.2 In such circumstances the line manager must noti- the 'olice o icer inriting o- his or her vie that the 'olice o icerJs 'er-ormance or attendance is

unsatis-actor as he or she has -ailed to maintain a su icient im'rovement and

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that as a conse*uence the 'olice o icer is re*uired to attend a third stage meetingto discuss this -ailure to maintain a satis-actor standard o- 'er-ormance orattendance.

+econd stage appeals

4.24 % 'olice o icer has a right o- a''eal against the nding and the terms o- theim'rovement notice im'osed at stage t o o- the ,PPs and against the decision tore*uire him to attend the meeting. $o ever& an nding and outcome o- thissecond stage meeting ill continue to a''l u' to the date that the a''eal isdetermined. 9here-ore here the 'olice o icer contests the nding or outcome& heor she should continue to -ollo the terms o- the im'rovement notice and anaccom'an ing action 'lan 'ending the determination o- the a''eal.

4.27 %n a''eal should be made in riting to the senior manager ithin 7 or:ingda s -ollo ing the da o- the recei't o- the im'rovement notice ;unless the 'eriodis eCtended b the senior manager -ollo ing an a''lication b the 'olice o icer<.

9he notice o- a''eal must clearl set out the grounds and evidence -or the a''eal.

Appeal grounds

4.2" 9he grounds -or a''eal are as -ollo sH

• that the nding o- unsatis-actor 'er-ormance or attendance isunreasonableK

• that an o- the terms o- the im'rovement notice are unreasonableK

• that there is evidence that could not reasonabl have been considered at thesecond stage meeting hich could have materiall a ected the nding o-unsatis-actor 'er-ormance or attendance or an o- the terms o- theim'rovement noticeK

• that there as a breach o- the 'rocedures set out in the Police ;Per-ormance<Regulations or other un-airness hich could have materiall a ected the

nding o- unsatis-actor 'er-ormance or attendance or the terms o- theritten im'rovement notice.

• that the 'olice o icer should not have been re*uired to attend the secondstage meeting as the meeting did not concern unsatis-actor 'er-ormance orattendance hich as similar to or connected ith the unsatis-actor'er-ormance or attendance re-erred to in the ritten im'rovement noticethat -ollo ed the rst stage meeting.

4.25 n the basis o- the above grounds o- a''eal& the 'olice o icer ma a''ealagainst the nding o- unsatis-actor 'er-ormance or attendance& the decision tore*uire him to attend the second stage meeting or the terms o- the rittenim'rovement notice& those beingH

• the res'ect in hich the 'olice o icerJs 'er-ormance or attendance isconsidered unsatis-actor K

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• the im'rovement hich is re*uired o- the 'olice o icerK

• the length o- the 'eriod s'eci ed -or im'rovement b the second linemanager at the second stage meeting.

4.+0 9he 'olice o icer has the right to be accom'anied and re'resented b a'olice -riend at the second stage a''eal meeting.

4.+1 Aherever 'ossible& the meeting date and time should be agreed bet een thesenior manager and the 'olice o icer. $o ever& here agreement cannot bereached the senior manager must s'eci- a time and date. I- the 'olice o icer orhis or her 'olice -riend is not available at the date or time s'eci ed b themanager& the 'olice o icer ma 'ro'ose an alternative time. Provided that thealternative time is reasonable and -alls ithin a 'eriod o- or:ing da sbeginning ith the rst or:ing da a-ter that s'eci ed b the senior manager& themeeting must be 'ost'oned to that time.

4.+2 nce a date -or the meeting is Ced& the senior manager should send to the'olice o icer a notice in riting o- the date& time and 'lace o- the second stagea''eal meeting together ith the in-ormation re*uired to be 'rovided underRegulation 24 o- the Per-ormance Regulations.

At the second stage appeal (eeting

4.++ %t this meeting the senior manager illH

• 'rovide the 'olice o icer ith the o''ortunit to ma:e re'resentationsK

• 'rovide his or her 'olice -riend ;i- he or she has one< ith an o''ortunit toma:e re'resentations ;6ee Role o- Police #riend<.

4.+/ $aving considered an re'resentations b either the 'olice o icer and? or hisor her 'olice -riend& the senior manager ma H

• ma:e a nding that the o icer should not have been re*uired to attend thesecond stage meeting& and reverse the nding made at that meetingK

• con rm or reverse the nding o- unsatis-actor 'er-ormance or attendanceK

• endorse or var the terms o- the im'rovement notice.

4.+ 9he senior manager ma deal ith the 'olice o icer in an manner in hichthe second line manager could have dealt ith him or her at the second stagemeeting.

4.+4 Aithin + or:ing da s o- the da -ollo ing the conclusion o- the a''ealmeeting& the 'olice o icer ill be given ritten notice o- the senior managerJs

decision. I- the senior manager is in a 'osition to send a ritten summar o- thereasons -or that decision& then this ma also accom'an the ritten notice o- thedecision.

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4.+7 $o ever& here the senior manager sends onl the ritten notice o- thedecision to the 'olice o icer& as soon as reasonabl 'racticable a-ter the conclusiono- the meeting& he or she ill send a ritten summar o- reasons -or that decision.

4.+" %n decision made that changes the nding or outcome o- the second stagemeeting ill ta:e e ect b a o- substitution -or the nding or terms a''ealedagainst and as -rom the date o- the second stage meeting.

.( The third sta,e

Preparation and purpose

7.1 Aith the eCce'tion o- gross incom'etence cases ;see 'aragra'h 7."<& initiationo- the third stage must be -or matters similar to or connected ith theunsatis-actor 'er-ormance or attendance re-erred to in the nal ritten

im'rovement notice.

7.2 Ahere& at the end o- the 'eriod s'eci ed in the nal ritten im'rovement notice&the line manager nds that the 'olice o icerJs 'er-ormance or attendance has notim'roved to an acce'table standard during that 'eriod or that the 'olice o icerhas not maintained an acce'table level o- 'er-ormance or attendance during the

validit 'eriod o- the notice& then the line manager must noti- the 'olice o icer inriting that he or she is re*uired to attend a third stage meeting to discuss these

issues. %s soon as reasonabl 'racticable therea-ter& the senior manager must givea notice to the o icer in-orming himH

• that the meeting ill be ith a 'anel a''ointed b the a''ro'riate authorit K

• the 'rocedures -or determining the date and time o- the meeting ;see'aragra'hs 7.+1 and 7.+2<K

• a summar o- the reasons h the 'olice o icerJs 'er-ormance or attendanceis considered unsatis-actor K

• the 'ossible outcomes o- a third stage meeting ;see 'aragra'h 7.4<

• that an $R 'ro-essional or a 'olice o icer ; ho should have eC'erience o-,PPs and be inde'endent -rom the line management chain< ma attend toadvise the 'anel on the 'roceedingsK

• that counsel or a solicitor ma attend the meeting to advise the 'anel on the'roceedings and on an *uestion o- la that ma arise at the meetingK

• here the 'olice o icer is a s'ecial constable& in-orm him or her that amember o- the s'ecial constabular ill attend the meeting to advise the'anel ;see 'aragra'hs 7.27 to 7.+0<K

• that i- the 'olice o icer agrees& an other 'erson s'eci ed in the notice maattend e.g. a 'erson attending -or develo'ment reasonsK and

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• the 'olice o icerJs rights i.e. his or her right to see: advice -rom are'resentative o- his or her sta association ;in the case o- a member o- the'olice -orce< and to be accom'anied and re'resented at the meeting b a'olice -riend 4 .

7.+ 9he notice must also include co'ies o- related documentation relied u'on bthe line manager in su''ort o- the vie that the 'olice o icerJs 'er-ormance orattendance continues to be unsatis-actor . It is im'ortant to note that a thirdstage meeting ma not ta:e 'lace unless the o icer has been noti ed o- his right tore'resentation b a 'olice -riend.

7./ 9he notice does not at this stage need to give the names o- the 'anel membersas these ma not be :no n at the time o- issue. $o ever& as soon as the 'anel hasbeen a''ointed b the a''ro'riate authorit & the a''ro'riate authorit shouldnoti- the 'olice o icer o- the membersJ names. ;#or details o- 'anel membershi'and 'rocedures& see 'aragra'hs 7.14 to 7.22<.

7. 9he 'ur'ose o- the meeting is -or the 'anel to hear the evidence o- theunsatis-actor 'er-ormance or attendance and to give the 'olice o icer theo''ortunit to 'ut -or ard his or her vie s. It ill also be an o''ortunit to hearo- an -actors that are continuing to a ect the 'olice o icerJs 'er-ormance orattendance and hat the 'olice o icer considers can be done to address them.

7.4 Ahere the 'olice o icer has reached stage three -ollo ing stages one and t o;i.e. not a gross incom'etence meeting<& the 'ossible outcomes o- this stage threemeeting are as -ollo sH

• rede'lo mentK

• reduction in ran: ;in the case o- a member o- a 'olice -orce and -or'er-ormance cases onl <K

• dismissal ; ith a minimum o- 2" da sJ notice<K or

• eCtension o- a nal im'rovement notice ;in eCce'tional circumstances<

7.7 Ahere the 'anel grants an eCtension to the nal im'rovement notice& the ills'eci- a ne 'eriod ithin hich im'rovement to 'er-ormance or attendancemust be made. 9he 12 month validit 'eriod o- the eCtended nal im'rovementnotice ill a''l in -ull -rom the date o- eCtension. 9he 'anel ma also var an o-the terms in the notice.

Gross inco(petence third stage (eetings

6 % third stage meeting cannot not ta:e 'lace unless the 'olice o icer concerned has been noti edo- his or her right to be re'resented b a 'olice -riend.

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7." 9here ma be eCce'tional circumstances here the a''ro'riate authorit 7 considers the 'er-ormance ;not attendance< o- the 'olice o icer to be sounsatis-actor as to arrant the 'rocedures being initiated at the third stage. 9his

ould be as a result o- a single incident o- gross incom'etenceE. It is notenvisaged that an a''ro'riate authorit ould initiate the 'rocedures at the thirdstage in res'ect o- a series o- acts over a 'eriod o- time.

7.5 !ross incom'etenceE is de ned in the Police ;Per-ormance< Regulations asH

…a serious inabilit or serious -ailure o- a 'olice o icer to 'er-orm the duties o-the ran: or role he is currentl underta:ing to a satis-actor standard or level& tothe eCtent that dismissal ould be >usti ed& eCce't that no account shall be ta:eno- the attendance o- a 'olice o icer hen considering hether he has been grosslincom'etent.E

7.10 Ahere the a''ro'riate authorit determines it is a''ro'riate to initiate the'rocedures at this stage& then the 'olice o icer must be in-ormed in riting that

he or she is re*uired to attend a third stage meeting to discuss his or her'er-ormance.

7.11 Ahere the a''ro'riate authorit has in-ormed the 'olice o icer that he or sheis to attend a third stage onl meeting& it must& as soon as reasonabl 'racticable&send the 'olice o icer a notice in riting hich ill include the -ollo ing detailsH

• that the meeting ill be ith a 'anel a''ointed b the a''ro'riate authorit K

• the 'rocedure -or determining the date and time o- the meetingK

• a summar o- the reasons h the 'olice o icerJs 'er-ormance is consideredto constitute gross incom'etenceK

• the 'ossible outcomes o- a third stage onl meeting ;see 'aragra'h 7.1 <K

• that an $R 'ro-essional and a 'olice o icer ; ho should have eC'erience o-,PPs and be inde'endent -rom the line management chain< ma attend toadvise the 'anel on the 'roceedingsK

• that counsel or a solicitor ma attend the meeting to advise the 'anel on the'roceedings and on an *uestion o- la that ma arise at the meetingK

• here the 'olice o icer is a s'ecial constable& in-orm him that a &member o-the s'ecial constabular ill attend the meeting to advise the 'anel ;see'aragra'hs 7.27 to 7.+0<K

• i- the 'olice o icer agrees& an other 'erson s'eci ed in the notice maattend e.g. a 'erson attending -or develo'ment reasonsK and

7 It should be noted that i- the decision to initiate the gross incom'etence 'art o-the 'rocedures is delegated b the a''ro'riate authorit & that decision must beauthorised b a senior 'olice o icer.

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• the 'olice o icerJs rightsH his or her right to see: advice -rom are'resentative o- his or her sta association ;in the case o- a member o- the'olice -orce< and to be accom'anied at the meeting b a 'olice -riend.

In addition& the notice must also set out the e ect o- regulation 4 o- thePer-ormance Regulations.

7.12 9he notice must be accom'anied b the documentation relied u'on b thea''ro'riate authorit in su''ort o- its vie that the 'olice o icerJs 'er-ormanceconstitutes gross incom'etence.

7.1+ 9he notice does not have to give the names o- the 'anel members at this stageas these ma not be :no n at the time o- issue. $o ever& as soon as reasonabl'racticable a-ter the 'anel has been a''ointed b the a''ro'riate authorit & it shouldnoti- the 'olice o icer o- the membersJ names.

7.1/ 9he 'ur'ose o- the meeting is -or the 'anel to hear the evidence o- the gross

incom'etence and to give the 'olice o icer and his or her re'resentative theo''ortunit to ma:e re'resentations on the matter.

7.1 9he a''ro'riate authorit ill eC'lain that the 'olice o icer is re*uired toattend the third stage meeting and that the 'ossible outcomes o- the stage threemeeting areH

• rede'lo ment to alternative dutiesK

• the issue o- a nal ritten im'rovement noticeK

• reduction in ran: ; ith immediate e ect<K

• dismissal ; ith immediate e ect< orK

• the issue o- a ritten im'rovement notice ;i- the 'anel considers that therehas been unsatis-actor 'er-ormance and not gross incom'etence<.

Panel (e($ership and procedure

7.14 9he 'anel ill com'rise a 'anel chair and t o other members and bea''ointed b the a''ro'riate authorit o- the -orce in hich the 'olice o icer is a'olice o icer. %t least one o- the three 'anel members must be a 'olice o icer andone should be an $R 'ro-essional. 8embershi' ill be as -ollo sH

1st panel !e! er 6chair78 6enior 'olice o icerK " or 6enior $R 'ro-essional ;see 'aragra'h 7.1"<.

2nd panel !e! er8 Police o icer o- at least the ran: o-su'erintendentK or$R 'ro-essional ho in the

o'inion o- the a''ro'riate authorit is at least" senior 'olice o icerE means a 'olice o icer holding a ran: above that o- chie-su'erintendent.




e*uivalent to that ran:.

3rd panel !e! er8 Police o icer o- at least the ran:o- su'erintendentK or

'olice sta member ho in theo'inion o- the a''ro'riate authorit

is at least e*uivalent to that ran:.

7.17. None o- the 'anel members should be >unior in ran: to the 'olice o icerconcerned i.e. the must be o- at least the same ran: or e*uivalent ;in the o'iniono- the a''ro'riate authorit <.

7.1" #or the 'ur'oses o- chairing a third stage meeting& the Police ;Per-ormance<Regulations de ne a senior $R 'ro-essionalE asH

…a human resources 'ro-essional ho& in the o'inion o- the a''ro'riate authorit &has su icient seniorit & s:ills and eC'erience to be a 'anel chairE.

9he 'anel chair should be senior in ran: ;or& in the o'inion o- the a''ro'riateauthorit & is senior in ran:< to the 'olice o icer concerned.

7.15 9he a''ro'riate authorit ma a''oint 'olice o icers or 'olice sta managers-rom another 'olice -orce to be members o- a 'anel.

7.20 No 'anel member should be an interested 'art i.e. a 'erson hosea''ointment could reasonabl give rise to a concern as to hether he or she couldact im'artiall under the 'rocedures.

7.21 %s soon as the a''ro'riate authorit has a''ointed a third stage 'anel& itshould arrange -or co'ies o- all relevant documentation to be sent to thosemembers. In 'articular& an documentH

• that as available to the line manager in relation to an rst stage meetingK

• hich as available to the second line manager in relation to an secondstage meetingK

• hich as 're'ared or submitted in advance o- the third stage meetingK

• hich as 're'ared or submitted -ollo ing those meetings i.e. im'rovementnotices& action 'lans and meeting notesK

• relating to an a''eal.

7.22 %s soon as the a''ro'riate authorit has a''ointed a third stage 'anel& itmust send the 'olice o icer ritten con rmation o- the names o- 'anel members.

#$3ection to panel (e($ers

7.2+ 9he 'olice o icer has the right to ob>ect to an 'anel members a''ointed bthe a''ro'riate authorit and an such ob>ection must be made in riting to the




a''ro'riate authorit no later than + or:ing da s a-ter recei't o- the noti cationo- the names o- the 'anel members. 9he 'olice o icer must include the ground o-his or her ob>ection to a 'anel member ;s< in that submission.

7.2/ 9he a''ro'riate authorit must in-orm the 'olice o icer in riting hether itu'holds or re>ects an ob>ection to a 'anel member.

7.2 I- the a''ro'riate authorit u'holds the ob>ection& a ne 'anel member illbe a''ointed as a re'lacement. %s soon as 'racticable a-ter an such a''ointment&the 'olice o icer ill be in-ormed in riting o- the name o- the ne 'anel member.9he a''ro'riate authorit must ensure that the re*uirements -or the com'ositiono- the 'anel in 'aragra'h 7.14 continue to be met.

7.24 9he 'olice o icer ma ob>ect to the ne l a''ointed 'anel member in thesame a as that described in 'aragra'h 7.2+ hereu'on the a''ro'riateauthorit must -ollo the 'rocedure described above.

+pecial consta$les and third stage (eetings

7.27 In cases here the 'olice o icer is a s'ecial constable& as indicated above&the -orce ill a''oint a member o- the s'ecial constabular to attend the meetingto advise the 'anel. 9his is -or the 'ur'ose o- -airness so that an signi cantdi erences bet een the role o- a regular and s'ecial 'olice constable and hichma have a bearing on the 'olice o icerJs 'er-ormance or attendance can be ta:eninto account.

7.2" 9he s'ecial constable advising the 'anel must have su icient seniorit andeC'erience o- the s'ecial constabular to be able to advise the 'anel. 9he s'ecialconstable advising the 'anel can be a 'olice o icer serving in a di erent -orce.

7.25 9he s'ecial constable advisor ill not -orm 'art o- the 'anel and ill not havea role in determining hether or not the 'olice o icerJs 'er-ormance orattendance is unsatis-actor .

7.+0 In arranging a third stage meeting involving s'ecial constables& dueconsideration should be given to the -act that s'ecial constables are un'aid

volunteers and ma there-ore have -ull time em'lo ment or other 'ersonalcommitments.

.eeting dates and ti(efra(es

7.+1 6ub>ect to 'aragra'h 7.+2& an third stage meeting should ta:e 'lace no laterthan +0 or:ing da s a-ter the date that the noti cation described in 'aragra'hs7.2 to 7./ has been sent to the 'olice o icer. Aithin that time-rame& herever'ossible& the meeting date and time should be agreed bet een the 'anel chair andthe 'olice o icer. $o ever& here agreement cannot be reached the 'anel chairmust s'eci- a time and date. I- the 'olice o icer or his or her 'olice -riend is notavailable at the date or time s'eci ed b the 'anel chair& the 'olice o icer ma'ro'ose an alternative time. Provided that the alternative time is reasonable and

-alls ithin a 'eriod o- or:ing da s beginning ith the rst or:ing da a-terthat s'eci ed b the 'anel chair& the meeting must be 'ost'oned to that time.




7.+2 I- the 'anel chair considers it to be in the interests o- -airness to do so& he orshe ma eCtend the +0 or:ing da 'eriod ithin hich the meeting should ta:e'lace and the reasons -or an such eCtension must be noti ed in riting to boththe a''ro'riate authorit and the 'olice o icer.

7.++ %s soon as a date -or the meeting is Ced& the 'anel chair should send to the'olice o icer a notice in riting o- the date& time and 'lace o- the third stagemeeting.

Procedure on receipt of notice of third stage (eeting

7.+/ Me-ore the end o- 1/ or:ing da s beginning ith the rst or:ing da a-terthe date on hich a notice ;as set out in 'aragra'hs 7.2 and 7.11< has been givento the o icer concerned& or& here that 'eriod is been eCtended b the 'anel chair-or eCce'tional circumstances& such eCtended 'eriod& the 'olice o icer must'rovide to the a''ro'riate authorit H

a. a ritten notice o- hether or not he or she acce'ts that his or her'er-ormance or attendance has been unsatis-actor or that he or she hasbeen grossl incom'etent& as the case ma beK

b. here he or she acce'ts that his or her 'er-ormance or attendance has beenunsatis-actor or that he or she has been grossl incom'etent& an rittensubmission he or she ishes to ma:e in mitigationK

c. here the 'olice o icer does not acce't that his or her 'er-ormance orattendance has been unsatis-actor or that he or she has been grosslincom'etent or here he or she dis'utes 'art o- the matters re-erred to inthe notice that he or she has received& he or she shall 'rovide thea''ro'riate authorit ith a ritten notice o-H

• the matters he or she dis'utes and his or her account o- the relevant

eventsK and

• an arguments on 'oints o- la he or she ishes to be considered bthe 'anel.

7.+ 9he 'olice o icer shall 'rovide the a''ro'riate authorit and the 'anel ith a

co' o- an document he or she intends to rel on at the third stage meeting.8itnesses and e!idence

7.+4 Me-ore the end o- three or:ing da s -ollo ing the o icerJs com'liance ith'aragra'h 7.+/& the senior manager and the o icer shall each su''l a list o-'ro'osed itnesses or give notice that the do not have an itnesses. Ahere

itnesses are 'ro'osed& this must be accom'anied b brie- details o- theirevidence. 9he o icer should tr and agree a list o- itnesses ith the seniormanager.

7.+7 Ahere agreement has not been reached as above& the o icer shall send to thea''ro'riate authorit his or her list o- itnesses.




7.+" %s soon as reasonabl 'racticable a-ter an list o- itnesses has been agreedor& in the case here no agreement could be reached& su''lied to the a''ro'riateauthorit & the a''ro'riate authorit must send the list;s< to the 'anel chairtogether ith& in the latter case& a list o- its 'ro'osed itnesses. 9he 'anel chair

ill consider the list o- 'ro'osed itnesses and ill determine hich& i- an &itnesses should attend the third stage meeting.

7.+5 9he 'anel chair can determine that 'ersons not named in the list shouldattend as itnesses.

7./0 No itnesses ill give evidence at a third stage meeting unless the 'anelchair reasonabl believes that it is necessar in the interests o- -airness -or the

itness to do so& in hich case he or she illH

a. in the case o- a 'olice o icer& cause him or her to be ordered to attend thethird stage meetingK

b. in an other case& cause him or her to be given notice that his or herattendance at the third stage meeting is necessar .

6uch notices ill include the date& time and 'lace o- the meeting. 7./1 Ahere a itness attends to give evidence then an *uestions to that itnessshould be made through the 'anel chair. 9his ould not 'revent the 'anel chairallo ing *uestions to be as:ed directl i- he or she -eels that this is a''ro'riate.

7./2 9he documents or other material to be relied u'on at the meeting arere*uired to be submitted in advance. %n document or other material that as notsubmitted in advance o- the meeting ma be considered at the meeting at thediscretion o- the 'anel chair. 9he 'ur'ose o- allo ing this discretion is to ensure-airness to all 'arties. $o ever& the 'resum'tion should be that such documents orother material ill not be 'ermitted unless it can be sho n that the ere not'reviousl available to be submitted in advance or that the relate to mitigation-ollo ing a nding o- unsatis-actor 'er-ormance or attendance that as contestedb the 'olice o icer. Ahere such a document or other material is 'ermitted to beconsidered& a short ad>ournment ma be necessar to enable those 'resent to reador consider the document or other material and consider its im'lications. 9he length

o- the ad>ournment ill de'end u'on the case. % longer ad>ournment ma benecessar i- the material in *uestion is com'leC.

At the third stage (eeting

7./+ %t the third stage meeting the 'anel chair ill conduct the meeting and illH

a. eC'lain to the 'olice o icer the reasons h he or she has been re*uired toattend a third stage meetingK

b. 'rovide the 'olice o icer ith the o''ortunit to ma:e re'resentations in

res'onseK

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c. here the case is one o- gross incom'etence and the 'olice o icer has o'ted-or legal re'resentation& 'rovide the 'olice o icerJs legal re'resentative iththe o''ortunit to ma:e re'resentationsK

d. unless the 'olice o icer is entitled to be and has chosen to be legallre'resented& 'rovide the 'olice o icerJs 'olice -riend ;i- he or she has one<

ith an o''ortunit to ma:e re'resentations ;see Role o- Police #riend<K

e. listen to hat the 'olice o icer ;and?or his or her 'olice -riend< has to saand as: *uestions as a''ro'riate

7.// $aving considered an re'resentations b either the 'olice o icer and? or hisor her 'olice -riend or ; here a''licable< the 'olice o icerJs legal re'resentative&the 'anel ill come to a nding as to hether or not the 'er-ormance orattendance o- the 'olice o icer has been unsatis-actor or hether or not his orher behaviour constitutes gross incom'etence& as the case ma be.

7./ I- there is a di erence o- vie bet een the three 'anel members& the ndingor decision ill be based on a sim'le ma>orit vote& but it ill not be indicatedhether it as ta:en unanimousl or b a ma>orit .

7./4 Ahere the 'anel ma:e a nding o- unsatis-actor 'er-ormance or attendanceor gross incom'etence then be-ore deciding on the a''ro'riate outcome& the 'anelmust have regard to the 'ersonal record o- the o icer concerned and anmitigation or re-erences 'ut -or ard on behal- o- the o icer. 9he 'anel must're'are ;or cause to be 're'ared< their decision in riting. Ahere the 'anel have-ound that the 'olice o icerJs 'er-ormance or attendance has been unsatis-actoror that he or she has been grossl incom'etent& the decision must also state theirreasons and an outcome hich the order.

7./7 %s soon as reasonabl 'racticable a-ter the conclusion o- the meeting& the'anel chair shall send a co' o- the decision to the 'olice o icer and the linemanager. $o ever& the 'olice o icer must be given ritten notice o- the nding o-the 'anel ithin + or:ing da s o- the conclusion o- the meeting.

7./" Ahere the 'anel have made a nding o- unsatis-actor 'er-ormance orattendance or gross incom'etence the co' o- the decision sent to the 'oliceo icer must also be accom'anied b a notice in-orming him or her o- the

circumstances in hich and the time-rame ithin hich he or she ma a''eal to a'olice a''eals tribunal.

Records

7./5 % verbatim record o- the meeting should be ta:en. 9he 'olice o icer must& onre*uest& be su''lied ith a co' o- the record.

Postpone(ent and ad3ourn(ent of a third stage (eeting

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7. 0 I- the 'anel chair considers it necessar or eC'edient& he or she ma directthat the third stage meeting should ta:e 'lace at a di erent time to that originallnoti ed to the 'olice o icer.

7. 1 9he 'anel chairJs alternative time ma -all a-ter the 'eriod o- +0 or:ing da ss'eci ed in 'aragra'h 7.+1.

7. 2 In the event that the 'anel chair 'ost'ones a third stage meeting he or sheshould noti- the -ollo ing relevant 'arties in riting o- his or her reasons and therevised time and 'lace -or the meetingH

• the 'olice o icerK

• other 'anel membersK and

• the a''ro'riate authorit .

7. + I- the 'olice o icer in-orms the 'anel chair in advance that he or she is unableto attend the third stage meeting on grounds hich the 'anel chair considersreasonable& the 'anel chair ma allo the 'olice o icer to 'artici'ate in themeeting b video lin: or other means.

7. / In cases here the 'olice o icer is absent ;-or eCam'le through illness orin>ur < a short dela ma be reasonable to allo him or her to attend. I- this is not'ossible or an dela is considered not a''ro'riate in the circumstances then the'erson;s< conducting the meeting?hearing ma allo the 'olice o icer to'artici'ate b tele'hone or video lin:. In these circumstances a 'olice -riend ill

al a s be 'ermitted to attend the meeting?hearing to re'resent the 'olice o icerin the normal a ;and& in the case o- a gross incom'etence meeting& the 'oliceo icerJs legal re'resentative here a''ointed<.

Assess(ent of %nal and e=tended'%nal i(pro!e(ent notices issued at the thirdstage

7. Ahere the 'olice o icer has been issued ith a nal im'rovement notice or&in eCce'tional cases& the 'anel has eCtended a nal im'rovement notice 'eriod& itis eC'ected that the 'olice o icerJs 'er-ormance or attendance ill be activelmonitored b the line manager throughout the s'eci ed 'eriod o- the nal?

eCtended nal im'rovement notice. 9he line manager should discuss ith the'olice o icer an concerns that the line manager has during this 'eriod as regardshis or her 'er-ormance or attendance and o er advice and guidance herea''ro'riate.

7. 4 %s soon as reasonabl 'racticable a-ter the s'eci ed 'eriod o- the nal?eCtended3 nal im'rovement notice comes to an end& the 'anel ill assess the'er-ormance or attendance o- the 'olice o icer during that 'eriod. 9he 'anel chairmust then in-orm the 'olice o icer in riting o- the 'anelJs conclusion -ollo ingassessment i.e. hether there has been su icient im'rovement in his or her'er-ormance or attendance during the s'eci ed 'eriod. I- the 'anel considers thatthere has been insu icient im'rovement the 'anel chair shall also noti- the o icerthat he or she is re*uired to attend another third stage meeting.

Version 2 – Revised November 2012 /)



case the 'rocedure -or assessing the 'er-ormance o- the 'olice o icer ill be thesame as that -ollo ing the rst stage. 6ee 'aragra'hs .15 to .2 .

Third stage appeals

7.4/ #ollo ing a third stage meeting& a 'olice o icer ma be able to a''eal to a'olice a''eals tribunal. 9his is dealt ith in %nneC (.

7.4 $o ever& an nding and outcome o- the third stage meeting ill continue toa''l u' to the date that the a''eal is determined.

/( Other !atters

.anage(ent action and (edical and attendance issues

".1 Ahere absence is due to genuine cases o- illness& either sel- certi ed or

medicall certi ed& the issue is one o- ca'abilit and thus -alls under the ,PPsrather than the 'rocedures relating to misconduct. In such cases managementshould to ta:e a s m'athetic and considerate a''roach& 'articularl i- the absenceis disabilit related and here reasonable ad>ustments in the or:'lace also needto be made hich might enable the 'olice o icer to return to or:.

".2 n the basis o- the occu'ational health advice& management should considerhether alternative or: is available. I- there is some doubt about the nature o-

the 'olice o icerJs illness or in>ur & the 'olice o icer ill be in-ormed that he orshe ill be eCamined b a -orce medical adviser ;#8%<. I- the 'olice o icer re-uses&he or she ill be told in riting that a decision on hether he or she is sub>ect to,PPs ill be ta:en on the basis o- the in-ormation available. 9he above ill bea''lied in accordance ith -orcesJ o n managing attendance 'rocedures.

".+ In accordance ith local -orce attendance management 'rocedures& the linemanager and the 'olice o icer should :ee' in regular contact. I- management ishto contact the 'olice o icerJs doctor& normal -orce arrangements ill be -ollo ed.

"./ 9he 'olice o icer should be made a are at the start o- the ,PPs that i- he orshe remains un ell and i- necessar ad>ustments cannot be made dismissal -romthe -orce is a 'ossible outcome at stage three.

". #or -urther guidance on sic:ness and absence matters& see se'arate guidance onattendance management ;(ha'ter /<.

Attendance at each stage of the procedures and ill'health

".4 %ttendance at an stage meeting is not sub>ect to the same considerations asre'orting -or dut and the 'rovisions o- Regulation ++ ;sic: leave< o- the PoliceRegulations 200+ do not a''l . %n illness or disabilit ma render a 'olice o icerun t -or dut ithout a ecting his or her abilit to attend a meeting. $o ever& i-the 'olice o icer is inca'acitated& the meeting ma be de-erred until he or she issu icientl im'roved to attend.

Version 2 – Revised November 2012 //



".7 % meeting ill not be de-erred inde nitel because the 'olice o icer is unableto attend& although ever e ort should be made to ma:e it 'ossible -or the 'oliceo icer to attend i- he or she ishes to be 'resent. #or eCam'leH

• the acute 'hase o- a serious 'h sical illness is usuall -airl short3lived& andthe meeting ma be de-erred until the 'olice o icer is ell enough to attendK

• i- the 'olice o icer su ers -rom a 'h sical in>ur – a bro:en leg 3 -orinstance& it ma be 'ossible to hold the meeting at a location convenient tohim or her.

"." Ahere such circumstances a''l at a stage three meeting& the -orce ma ishto consider the use o- video& tele'hone or other con-erencing technolog .

".5 Ahere& des'ite such e orts having been made and?or the meeting having beende-erred& the 'olice o icer either 'ersists in -ailing to attend the meeting ormaintains his or her inabilit to attend& the 'erson conducting the meeting illneed to decide hether to continue to de-er the meeting or hether to 'roceed

ith it& i- necessar in the absence o- the 'olice o icer. 9he 'erson conducting themeeting must >udge the most a''ro'riate course o- action. Nothing in this'aragra'h should be ta:en to suggest that& here a 'olice o icerJs medicalcondition is -ound to be such that he or she ould normall be retired on medicalgrounds the ,PPs should 'revent or dela retirement.

.edical retire(ent under police pension legislation

".10 9he Police Pensions Regulations 15"7 in relation to the Police Pension6cheme and the Police Pensions Regulations 2004 in relation to the Ne PolicePension 6cheme 'rovide that here a local 'olicing bod is considering hether a'olice o icer is 'ermanentl disabled it shall re-er the issue to the selectedmedical 'ractitioner ;68P< -or a decision.

".11 6ome cases o- unsatis-actor attendance ma raise the need to considerhether the 'olice o icer is 'ermanentl disabled ithin the meaning o- the Police

Pension Regulations 15"7 or 2004. In such cases& this guidance should be read incon>unction ith the PNM Boint !uidance on Im'roving the 8anagement o- Ill3$ealth.

".12 Ahere a 'olice o icer is re-erred to the 68P -or consideration o- 'ermanentdisablement under the Police Pensions Regulations& no action shall be commencedor continued under the Police ;Per-ormance< Regulations ith regard to theunsatis-actor attendance o- a 'olice o icer until the issue o- 'ermanentdisablement has been considered and the re'ort o- the 68P has been received bthe local 'olicing bod .

".1+ Ahere a 'olice o icer a''eals to a 8edical %''eal Moard against a decision o- the 68P that he or she is not 'ermanentl disabled or to a (ro n (ourt against adecision o- the local 'olicing bod not to re-er the 'ermanent disablement*uestions to a 68P& no action shall be commenced or continued under the Police;Per-ormance< Regulations ith regard to the unsatis-actor attendance o- the'olice o icer until the a''eal has been resolved.




".1/ %ction can& ho ever& be ta:en under the ,PPs here a case has been re-erredor is the sub>ect o- a''eal i- the unsatis-actor attendance is unrelated to thecondition -orming the basis o- the re-erral or a''eal. $o ever& -orces must becon dent that there is no connection as a decision to 'roceed in suchcircumstances ma be challenged in the courts or tribunals. I- the a''ro'riatemanager is unsure hether an condition -orming the basis o- a re-erral to the68P or an a''eal to either a 8edical %''eal Moard or (ro n (ourt is related tothe unsatis-actor attendance o- a 'olice o icer& then advice should be sought -romthe $R 'ro-essional acting on behal- o- the local 'olicing bod be-ore an decisionis ta:en to commence or continue the ,PPs. 8edical advice -rom the -orcemedical advisor ;#8%< ma also be necessar .

#or -urther guidance on medical retirement 'rocedures& seeH

htt'H?? .ome.u:.com?Document?De-ault.as'C@Document,idQ 1404"M/3/0%43/%#43%(()3)0%)D("%474"

htt'H?? .lge.gov.u:?lge?aio? + /7

Retire(ent under AB of the Police Pensions Regulations B ? and Regulation )4 ofthe Police Pensions Regulations )44; and the >4 and >4 P2"+ sche(es

".1 %15 o- the Police Pensions Regulations 15"7 'rovides -or the com'ulsorretirement o- 'olice o icers ho have built u' +0 ears o- 'ensionable service ;andare entitled to an immediate -ull 'ension< here retention o- a 'olice o icer ouldnot be in the general interests o- -orce e icienc . 6imilarl & regulation 20 o- thePolice Pensions Regulations 2004 'rovides -or the com'ulsor retirement o- those

'olice o icers ho are members o- the ne 2004 Police Pension 6cheme& and canbe retired immediatel ith a -ull 'ension& on the same grounds.

".14 9hese regulations should not to be used to remove a 'olice o icer insituations o- unsatis-actor 'er-ormance or attendance here there is no issue o-

ider -orce e icienc . 9he ,PPs should be used in such cases.

".17 ,PPs can also be used here 'olice o icers have resumed service under the+0F and +0F P=,6 schemes and here a termination o- o ice under %15 orregulation 20 is not a''ro'riate ;as above<.

".1" #or detailed guidance on the Police Pension Regulations and +0F and +0FP=,6 schemes& seeH

htt'H?? .n'ia.'olice.u:?en?docs?+0guidanceschemeguidance.'d- ;+0F guidance<

htt'H?? .n'ia.'olice.u:?en?1 0" .htm ;+0F P=,6 guidance<

Co(petency Related Threshold Pay(ents ".15 % nding or admission o- unsatis-actor 'er-ormance or attendance or gross

incom'etence at a ,PP meeting ill not automaticall result in the removal o- a'olice o icerJs com'etenc related threshold 'a ment. $o ever& here a 'oliceo icer has received an im'rovement notice or nal im'rovement notice& this ma


http://www.ome.uk.com/Document/Default.aspx?DocumentUid=516068B4-40A6-4AF6-ACCE-E0AEDC8A6768


http://www.lge.gov.uk/lge/aio/53547

http://www.npia.police.uk/en/docs/30guidanceschemeguidance.pdf




http://www.lge.gov.uk/lge/aio/53547

http://www.npia.police.uk/en/docs/30guidanceschemeguidance.pdf




trigger a revie o- the a''ro'riateness o- that 'olice o icer continuing to receivesuch 'a ments. %n such revie should ta:e into account the *uali- ing criteria -or'a ments under these schemes.

The use of records under "PPs

".20 Records o- an 'art o- the ,PPs should not be ta:en into account a-ter anim'rovement notice has ceased to be valid. )*uall & here a 'olice o icer a''ealsand that a''eal is success-ul& the record o- that 'rocedure should not be ta:en intoconsideration in an -uture 'roceedings or -or an other 'ur'ose.

0( )nteraction ith Police Co%2laints s$ste%

5.1 % 'olice o icer ma be re-erred to an unsatis-actor 'er-ormance meeting orstage + gross incom'etence meeting as a result o- a 'ublic com'laint or conductmatter.

5.2 9he Inde'endent Police (om'laints (ommission ;IP((< has the 'o er torecommend and ultimatel direct that 'roceedings are ta:en under the Police;Per-ormance< Regulations.

5.+ Ahere a case has been re-erred to a stage + meeting -or gross incom'etence as aresult o- an investigation o- a 'ublic com'laint or a conduct matter hich assub>ect to local& su'ervised& managed or inde'endent investigation then thecom'lainant or interested 'erson ill be 'ermitted to attend and remain in themeeting until the conclusion o- the 'roceedings& a-ter having given evidence ;i-a''ro'riate<. 9he com'lainant or interested 'erson ma be accom'anied b oneother 'erson& and i- the com'lainant or interested 'erson has a s'ecial need& bone -urther 'erson to accommodate that need.

5.+% Ahere the o icer concerned ob>ects to the com'lainant or interested 'erson&or an 'erson accom'an ing him& being 'resent hile a submission is made inmitigation on the o icerJs behal-& the 'erson conducting or chairing the'roceedings ma re*uire the com'lainant or interested 'erson& or an 'ersonaccom'an ing him& to ithdra hile the submission is made. 9he right o- theo icer to ob>ect in this a should be dra n to their attention b the 'ersonconducting or chairing the 'roceedings

5.+M 9he decision about hether to allo the com'lainant or interested 'erson& oran 'erson accom'an ing them to remain or not is a decision -or the chair havingconsidered re'resentations made b the o icer. I- the 'anel chair is not minded togrant the o icerJs re*uest immediatel & the com'lainant?interested 'erson shouldbe as:ed to leave the room under the general 'o er in regulation /0;1+< o- thePer-ormance Regulations hile the o icer ma:es a submission giving reasons hsuch 'ersons should be eCcluded hile submissions are made in mitigation. I- thecom'lainant or interested 'erson has been eCcluded& the 'erson conducting orchairing the meeting must& sub>ect to the need to :ee' them eCcluded -or another reason& invite them bac: into the meeting -or the communication o- the

nding and the outcome o- the 'roceedings.




5./ 9he IP(( has the right to attend the 'roceedings to ma:e re'resentations inan case here an inde'endent or managed investigation as underta:en& or

here the IP(( made a recommendation or direction to the a''ro'riate authoritith regard to the 'roceedings.

5. In an case dealt ith under the ,PPs as a result o- a 'ublic com'laint orconduct matter the a''ro'riate authorit ill have a dut to in-orm thecom'lainant and interested 'ersons o- the outcome o- those 'roceedings hetherthe attend or not.




CHAPTER *

G#)3ANCE ON ATTEN3ANCE !ANAGE!ENT

Introduction

1.1 9he 'olice service is committed to 'romoting a good attendance culture and asu''ortive or:ing environment ithin 'olice -orces. 9his guidance on attendancemanagement is issued b the $ome ice ith the -ull su''ort o- the Police %dvisorMoard -or )ngland and Aales.

1.2 9he 'ur'ose o- this guidance is to highlight the :e 'rinci'les that should guide'olice -orces in develo'ing good attendance management 'olicies and 'ractices.

1.+ Ahile the guidance is not statutor & it is relevant to the a''lication o- the Police

;Per-ormance< Regulations. 9here is a clear eC'ectation that -orces ill have in'lace an attendance 'olic that meets the standards set out in this guidance. #ailureto have or to -ollo such a 'olic could be ta:en into account hen decisions arebeing made& or a''eals decided under the ,nsatis-actor Per-ormance Procedures;,PPs<.

1./ 9his guidance has been develo'ed in con>unction ith the 'olice staassociations.

1. 9he Police ;Per-ormance< Regulations de ne unsatis-actor attendance as theinabilit or -ailure o- a 'olice o icer to 'er-orm the duties o- the role or ran: he Oshe

is currentl underta:ing to a satis-actor standard or levelJ. In this conteCt& thisould be due to absence during agreed hours o- dut .

1.4 In the case o- lateness& there ill be a need to establish the reasons -or thebehaviour. (onsideration should be given to hether the matter is 'ro'erl dealt

ith under the attendance management 'olic or as an issue o- 'ersonal misconduct.

+cope

1.7 9his guidance covers an attendance management 'olic as it relates to 'oliceo icers& including 6'ecial (onstables. %rrangements are under a to develo' a'arallel document in relation to 'olice sta . $o ever& hile ac:no ledging thedi ering em'lo ment status o- o icers and sta & the 'rinci'les o- e ectiveattendance management set out here are generall a''licable to both o icers andsta & and -orces ma chose to develo' a single 'olic to cover both o icers and sta .

ey principles

1." %ll -orces should have a clear 'olic on attendance management that is ell3'ublicised and accessible to all.

1.5 9here should be o nershi' o- the 'olic at the (hie- icer level.




1.10 9he 'olic should be develo'ed in consultation ith sta associations& -orcemedical advisors& occu'ational health 'ractitioners and health and sa-et advisors.

1.11 9o maCimise the li:elihood o- success& -orces must ado't a 'ositive& su''ortiveand trans'arent a''roach to attendance management that does not unla -ulldiscriminate. Policies should be revie ed at sti'ulated regular intervals& the revieto include an e*ualit im'act assessment.

1.12 #orces must 'lace a''ro'riate em'hasis on the 'revention o- accidents and-actors that cause or contribute to ill3health and ta:e all reasonabl 'racticable ste'sto sa-eguard the health& sa-et and el-are o- all their o icers.

1.1+ %ll o icers have a dut to have due regard to health& sa-et and el-are and toco3o'erate ith their -orce arrangements in order to sa-eguard themselves andothers 10 .

1.1/ 9here must be clear and e ective communication in relation to attendance

management& both generall and in individual cases.

1.1 %n decision to use the ,nsatis-actor Per-ormance Procedures ;,PPs< to dealith 'oor attendance should be ta:en onl a-ter all su''ortive a''roaches have been

o ered in line ith -orce 'olic .

1.14 Ahere the ,PPs are invo:ed& the 'rimar aim is to im'rove attendance.$o ever& one available outcome o- the ,PPs is termination o- service.

Policy

2.1 )ach #orce must ensure it has in 'lace -ormal 'olicies and 'rocedures setting outits a''roach to the management o- attendance. 9hese should be endorsed b (hie-

icers. 9he 'olic should have clear aims and ob>ectives. It is essential that theseare communicated to all managers& o icers and their re'resentatives and ste'sta:en to ensure that the are -amiliar ith& and -ull understand theirres'onsibilities. icers should have read access to the 'olic and 'rocedures.

2.2 9he (hie- icer should a''oint a named individual at a senior level ho ta:esthe lead on attendance issues.

2.+ 6ta associations have a :e role in the develo'ment and revie o- attendancemanagement 'olicies and 'rocedures.

10 !eneral duties o- em'lo ees at or: It shall be the dut o- ever em'lo ee hile at or:3 ;a< to ta:e reasonable care -or the health and sa-et o- himsel- and o- other'ersons ho ma be a ected b his acts or omissions at or:K and;b< as regards an dut or re*uirement im'osed on his em'lo er or an other'erson b or under an o- the relevant statutor 'rovisions& to co3o'erate ith himso -ar as is necessar to enable that dut or re*uirement to be 'er-ormed orcom'lied ith.$ealth and 6a-et at Aor: %ct 157/ ;as amended b the Police ;$ealth and 6a-et <

%ct 1557<& 6ection 7




2./ 9he 'olic should set out clearl the #orceJs eC'ectations in res'ect o-attendance management. ) ective 'olicies have the -ollo ing -eaturesH

• 9he 'olic and 'rocedures should be monitored -or e ectiveness& and include astated 'rocess and 'eriod -or revie . Publication o- regular managementre'orts on attendance management ma assist in :ee'ing attendancemanagement in -ocus.

• 9he 'olic demonstrates senior managementJs commitment to care -or o icerhealth& sa-et and el-are and to com'l ith all relevant legislation& using allavailable data to 'romote im'rovement and learning.

• 6u''ort -or o icers to im'rove their attendance and assist those ho are onsic: leave to return to or:.

• (larit on ho in-ormation ill be ca'tured and recorded& locall and on a-orce ide basisK this should include the stated recording method. !iven man

#orces no o'erate a variet o- shi-t 'atterns& the recording o- absence inhours& as directed b the current $ome ice !uidance on 6tatutorPer-ormance Indicators& is critical in order that accurate com'arisons can bemade bet een #orces.

• Ahole organisation o nershi'& demonstrating e ective communication andconsultation 'rocess ith the or:-orce

• 9rans'arent and non discriminator a''lication at all levels in the organisationand -or all o icers& hilst ta:ing individual circumstances and re*uirementsinto account.

• 9here ill be clarit regarding roles and res'onsibilities o- individual o icers&line managers& human resource managers& occu'ational health 'ractitioners&health and sa-et advisors and -orce medical advisors.

• #orces must clearl set out the relationshi' o- the attendance management'olic ith other #orce 'olicies hich ma have a lin: to health3related issues.9hese could include substance misuseK health 'romotionK Ris: %ssessmentMased 8edical )Camination ;R%M8)< 11K #airness at Aor:K dis'ute resolutionKdisabilit K maternit K and or:'lace stress 'olicies and 'olicies on or:3li-e

balance. The Procedure

+.1 9he 'rocedure describes ho the ob>ectives o- the 'olic ill be achieved in'ractice& b setting the -rame or: -or management action to maintain and herea''ro'riate& to im'rove attendance levels.

+.2 %n attendance management 'rocedure should see: to ensure the -ollo ingoutcomesH

11 htt'H?? .n'ia.'olice.u:?en?5170.htm






• 9he 'romotion o- a health and sa-e or:ing environment.

• (onsistent and trans'arent a''lication to all o icers& regardless o- grade orran:& ta:ing into account individual circumstances and re*uirements.

• =evels o- sic:ness absence are accuratel recorded in line ith $ome iceguidance on a regular basis& ith regular monitoring re'orts to be used localland nationall .

• (ommunication b -orces to all o icers on the organisationJs ob>ectives aroundattendance management.

• 8anagers at all levels are -ull a are o- their res'onsibilities.

• De ned levels o- occu'ational health and other el-are su''ort to be 'rovided.

+.+ %n e ective 'rocedure should contain the -ollo ing -eaturesH

• (lear 'rocesses -or re'orting 'eriods o- sic:ness absence& and reasons -orabsence& both at the start o- the 'eriod o- sic:ness and at de ned 'eriodstherea-ter.

• (lear 'rocess -or either sel-3certi cation or the 'rovision o- medicalcerti cate;s<

• (lear 'rocess -or ho lateness should be dealt ith.

• (lear 'rocesses -or re'orting and recording in>uries incurred on dut .

• (lear 'rocess -or maintaining contact during 'eriods o- absence.

• (lear 'rocess -or conducting return to or: intervie s and the develo'ment o- rehabilitation and?or action 'lans to im'rove attendance.

• !uidance on records to be :e't regarding intervie s and rehabilitation and?oraction 'lans.

• !uidance on the use o- recu'erative or restricted duties to encourage earl

and sa-e structured return to or:.• !uidance on the recording o- absence and action to be ta:en under s'ecial

circumstances& e.g. here absence is maternit or disabilit related. Ahereabsence is disabilit related se'arate records should be :e't.

• Ahether& and i- so& ho & sic:ness absence ill be a -actor used in selection -ortraining o''ortunities?'ostings?'romotion. Ahere sic:ness absence is a -actor&-orces should ensure that this is com'liant ith other relevant -orce 'olicies onissues such as disabilit and e*ualit .

.anaging Processes




/.1 #orces should ta:e a 'roactive and su''ortive a''roach to managing absence&identi- ing and tac:ling an barriers to good attendance.

+hort'ter( a$sence

/.2 )ver instance o- sic:ness absence should be considered in line ith -orce'rocedures. 8anagers should see: to ascertain an underl ing causes o- absence&and ta:e a''ro'riate action to 'revent absence -rom escalating -urther. ,sing everinstance o- sic:ness absence as an o''ortunit to revie the health o- the o icerconcerned is im'ortant and such revie ma 'revent the sic:ness becoming more'rolonged. )ach revie ill also be an o''ortunit to consider hether there are an'atterns o- absence that give rise to an concern.

2ong'ter( a$sence

8. =ong term absence is de ned as absence lasting 2" calendar da s or more. ncean individual is absent -rom or: -or around 2" calendar da s& regardless o- their

medical condition& their return to or: can become more 'roblematic& and there is adistancing -rom the or:'lace and or: colleagues. It is o- the utmost im'ortancethat clear arrangements are in 'lace to maintain contact -rom an earl stage in anabsence.

.aintaining Contact

/./ It is im'ortant that there are clear& locall 'ublished arrangements in 'lace tomaintain contact ith o icers ho are absent -or eCtended 'eriods. 6ucharrangements should set out the 'ur'ose -or the contact. 9his is li:el to includeensuring medical certi cates are regularl su''lied and access to internal servicessuch as counselling and rehabilitation are o ered.

/. =ine managers should maintain or -acilitate regular contact ith all o icersabsent on locall de ned 'eriods o- sic:ness or long term absence throughout the'eriod o- absence and maintain a contact log.

/.4 %n arrangements should s'eci- the nominated 'erson ho is res'onsible -orensuring contact is maintained.

/.7 De'ending on the reason -or absence and hether the o icer is at home or inhos'ital& sensitivit ill be re*uired in ensuring that the a''ro'riate level o- contactis maintained. Phone calls& letters or regular #orce ne sletters could all be used. %balance needs to be struc: bet een too much or too little contact as too much couldbe regarded as intrusive and bordering on harassment& hereas too little could beinter'reted as not caring.

/." In rare cases it ma be a''ro'riate to have a 'erson ho is not in the o icerJsline management chain as the 'oint o- contact. #or eCam'le& this could arise herethe re'orted cause o- the absence is due to management issues. %n #orce'rocedure should ensure there is guidance on this 'oint. =ocal arrangements shouldho ever ma:e clear that the o icer has a res'onsibilit to 'rovide the necessar

medical certi cation and in-ormation on 'rogress. 9he o icer should also -acilitatecontact and co3o'erate ith the advice and services 'rovided b occu'ational health.




Facilitating Return to 8or/

/.5 ) ective and sensitive management can be e ective in -acilitating the earliest'ossible sa-e return to or:& es'eciall in cases o- eCtended sic:ness absence.8anagement& in consultation ith occu'ational health& should ma:e the o icerJsmedical 'ractitioners a are that the return to or: can be 'hased& either breducing hours at the start o- the return or ad>usting some o- the tas:s o- the role toensure no undue ris: is 'laced on the o icer concerned. 8anagers should ensure ana''ro'riate ris: assessmentJ is underta:en in such cases. 8anagers can be active intheir su''ort and encouragement -or an earl & sa-e return to or:.

/.10 It is ver li:el that in these cases occu'ational health ould have beeninvolved at an earlier stage and their advice to managers is im'ortant. 9here ma besome locall -unded s'end3to3save schemes hich could -acilitate 'rivate health carei- undue N$6 aiting times are being encountered.

/.11 9he o er o- a discussion ith the o icer and his or her re'resentative ma

assist in the return to or:. Police o icers are :e in understanding their conditionand ho their role ma be tem'oraril ad>usted to -acilitate a return to or:.

Pay(ent during sic/ness a$sence

/.12 It ill be im'ortant at the a''ro'riate time to in-orm the o icer o- the e ect o-anneC G o- the 6ecretar o- 6tateJs determinations under regulation 2" o- the PoliceRegulations 200+ and its im'lications -or sic: 'a . 9his ill be 'articularl im'ortant

hen the o icer concerned is a''roaching the time hen his or her 'a ma bereduced or removed& to ensure there is clarit regarding this 'oint and herea''ro'riate& a''lication -or discretion to eCtend the 'eriod -or hich a s'eci c rateo- 'a is 'a able is made in good time 12 .

Return to -or/ inter!ie-s*

/.1+ Return to or: intervie s& conducted e ectivel & 'la a -undamental role inensuring attendance is care-ull and -airl managed. 6uch intervie s should beconducted -ollo ing a return to or: a-ter ever 'eriod o- unscheduled absence&even i- the absence has been ver short.

/.1/ Return to or: intervie s should a''l to all o icers regardless o- ran:& and

should be vie ed b both the o icer and the manager as 'ositive. $o ever thereshould be re-erence to the o icerJs overall sic:ness record& here this isa''ro'riate& so there can be an o'en discussion regarding an 'atterns o- absenceor other issues a ecting his or her abilit to attend regularl & or a need -or -urtherintervention or su''ort.

/.1 9he return to or: intervie shouldH

• )nsure that all documentation ;such as medical certi cates or sel-3certi cation< has been com'leted.

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• Discuss the reasons -or absence in a non3con-rontational a and hether theo icer is able to underta:e the -ull range o- duties a''licable to his or her roleor develo' a 'lan -or recu'erative duties. Ahere there is an doubt& the mattershould be re-erred to occu'ational health -or advice.

• (onsider hether& i- a''ro'riate& an ad>ustment could be made to an o icerJs

or:ing environment to enable him or her to return to or:.• Provide the o''ortunit -or the o icer to indicate an areas o- concern that

ma have contributed to his or her 'eriod o- absence.

• Ahere a''ro'riate& u'date the o icer on an matters o- signi cance that haveoccurred in his or her 'eriod o- absenceK this should cover both his or her o n

or:& and that o- the team.

• Me conducted sensitivel and in a manner that enables an 'articularcircumstances to be dealt ith.

/.14 Records o- return to or: intervie s must be securel stored in line ithgeneral 'olicies on o icer data and in accordance ith the Data Protection %ct 155".

Disa$ility

.1 9he decision as to hether or not an o icer is disabled under the )*ualit %ct2010 is ultimatel a matter -or an )m'lo ment 9ribunal to decide. $o ever& hetheran o icer is disabled under the %ct should not be the overriding 'rinci'le in the'rocess o- deciding hether to ma:e reasonable ad>ustments. I- a #orce considers

that an o icer ma be disabled -or the 'ur'ose o- the )*ualit %ct& then it is good'ractice to treat him or her as such.

Recuperati!e duties

4.1 % 'hased return to or: using recu'erative dut arrangements can aid an earlreturn to or:. Recu'erative duties should be used hen there is the eC'ectationthat an o icer ill return to -ull duties u'on his or her recover . 9he area''ro'riate as a time3limited measure based on individual circumstances to enableo icers to re3integrate into the or:-orce -ollo ing a 'eriod o- sic: leave or in>ur .

%n change to tas:s should be tem'orar and a measured increase to return tonormal hours and tas:s should be activel managed and achieved in the shortest'ossible time.

Restricted duties

7.1 Ahere the condition is li:el to be 'ermanent& a return to or: on the basis o-restricted duties should be considered. Restricted duties are used in order to retainthe s:ills and eC'ertise o- 'olice o icers and 'revent unnecessar and costl earlretirement. Police o icers ho are 'er-orming restricted duties are or:ing -ullhours& as the restriction is 'redominantl based u'on the t 'e o- or: an o icer can'er-orm rather than the hours or:ed. 9his or: should utilise their 'olice s:ills andeC'erience.




Ill'health retire(ent

".1 9here ill be occasions here the medical condition causing the absence ill be ver serious and 'otentiall ith a 'ermanent e ect. In such cases the issues o-

hether the o icer is 'ermanentl disabledJ ithin the de nition used in ill3healthretirement guidance& ill need to be considered.

"nsatisfactory Perfor(ance Procedures

5.1 Ahere su''ortive a''roaches have -ailed to im'rove attendance to acce'tablelevels& and ill3health retirement is ina''ro'riate& it ma be necessar to use the,nsatis-actor Per-ormance Procedures ;see (ha'ter +<.

Allocating responsi$ilities

10.1 (hie- icers have res'onsibilities under the $ealth and 6a-et at Aor: etc %ct157/ 1+ and related legislation to 'rotect o icers hilst at or:. I- the are vulnerableto ris: 'articularl i- the have an illness& in>ur or disabilit & then human resources&health and sa-et 'ractitioners and occu'ational health and el-are are thecom'etent advisors.

10.2 It is the role o- $R 'ro-essionals to su''ort sic:ness absence 'olicies b'roviding advice and guidance to the line managers res'onsible -or im'lementingthe 'olicies. 9his ill include the 'rovision o- advice hich ta:es into account there*uirements o- the )*ualit %ct 2010 and $6) s 6tress 8anagement !uidance.

10.+ ccu'ational health 'ractitioners should 'la a ma>or role in evaluating reasons-or absence& conducting health assessments& advising $R 'ro-essionals and linemanagers in 'lanning returns to or:& and 'romoting good health.

10./ %ll managers have a signi cant role to 'la b demonstrating their commitmentto managing absence and ma:ing it a service 'riorit .

10. 9he develo'ment o- good 'ractice in managing attendance is encouraged.

10.4 9he 6trateg -or a $ealth Police 6ervice details the s'eci c res'onsibilities o-the various 'arties ho contribute to a healthier 'olice service.

Role of #ccupational Health

11.1 ccu'ational health has a role both in giving advice to managers to assist inta:ing managerial decisions and in su''orting o icers ho see: their advice andassistance. #orces and local 'olicing bodies should ensure that su icient resourcesare available to 'rovide a de ned level o- occu'ational health service.

11.2 ccu'ational health is res'onsible -or 'roviding advice on clinical issues

a ecting o icers in the or:'lace& here this ma be a ecting 'er-ormance or1+ %s amended b the Police ;$ealth and 6a-et < %ct 1557




attendance. Ahere the -orce is re*uired to conduct a ris: assessment& o icers canbe re*uired to co3o'erate ith occu'ational health and?or health and sa-et advisorsas 'art o- the ris: assessment 'rocess.

11.+ 9he #orce should clearl de ne -or all o icers& the role and range o- servicesthe can eC'ect -rom the occu'ational health service. It is vital that o icers havecon dence in the service and that managers are clear regarding the 'ro-essionalcon dentialit re*uirements o- occu'ational health 'ractitioners.

11./ %dvice given to managers should be in a -orm hich enables the manager toma:e a decision regarding the o icer. 8anagers are res'onsible -or ma:ingdecisions regarding the o icer in-ormed b 'ro-essional advice& including that'rovided b occu'ational health. % manager ho has concerns about an o icerJshealth and the e ect it ma have on his or her abilit to attend regularl and 'er-ormhis or her normal tas:s& ma re-er the o icer to occu'ational health.

11. % manager should set out clearl the *uestions he or she ants occu'ational

health to advise on& and should 'rovide occu'ational health ith in-ormation aboutthe role the o icer 'er-orms to enable the advice to be relevant. 9he -ollo ing issuesare eCam'les o- medical advice that ma be re*uested. In addition managers shouldstate the reasons -or re-errals and an management issuesH

• s the officer fully fit for wor+ in the particular role or are they sub ect to temporary or permanent limitations;

• Are there any ad ustments re*uired and, if so, what is the nature of any ad ustments that can be recommended toenable the officer to carry out his or her role;

• Are there any issues affecting the wor+place that are impacting on the officer<s performance;

• s the condition one which could recur, and which may in the future affect effective attendance and performance;

• 5ow does the medical condition directly affect the role underta+en, i.e. what parts of the role can be underta+enand which cannot;

• 2oes the impairment affect day=to=day activity;

• /ould the officer return to wor+ on recuperative duties as a step to returning to full duties and if so whatfunctional activities could be performed;

• s the condition such that a return on a restricted duty basis is an option and if so what functional activities arecapable of being performed regularly;

• s there any e*uipment that could assist in a safe return to wor+;

• s time needed to underta+e treatment:rehabilitation;

• 2oes the officer4s condition fall within the scope of the >*uality Act '#';

• 5ow long is the condition li+ely to last before a return to full duties;




• Advice as to whether the condition is li+ely to re*uire consideration of 3permanent disability4 as defined in pension arrangements. f so, procedures covering pensions should be followed. #8

• In-ormation given to managers b occu'ational health ill not give the medicaldiagnosis as this is 'rotected b medical con dentialit & but the im'act o- thecondition on the o icerJs 'er-ormance& ca'abilit and attendance ill beidenti ed& together ith relevant timescales.

Health and +afety

12.1 9he legal res'onsibilit -or assurance o- 'roactive 'reventative measures restsith the (hie- icer and the local 'olicing bod . %s 'art o- the re*uirement to

'rovide a sa-e and health environment -or all o icers& each #orce ill have to assessho it ill meet those res'onsibilities. 9his should include an assessment o- a rangeo- 'roactive 'reventative measures to reduce the incidence o- both 'h sical and's chological ill3health here or: ma be a -actor& -or eCam'le& access to 'rivatehealth care ma be an o'tion available here N$6 aiting lists are length .

12.2 6uch measures should be designed to su''ort and 'romote an environmenthere sa-e s stems o- or: are a natural -eature. 9he introduction o- a Ris:

%ssessed Mased 8edical )Camination ;R%M8)< 'rocess ma 'rovide a use-ulstructured a''roach& identi- ing 'osts here there ma be higher ris:s to 'h sicalor 's chological ellbeing& together ith a''ro'riate measures to reduce ormitigate such ris:s. %nal sis o- the ma>or causes o- absence should guide thedeliver o- service 'rovision.

Training and Co((unication

1+.1 %ll managers ho are re*uired to 'artici'ate in an as'ect o- attendancemanagement must have clarit about their res'onsibilities and have con dence inhandling attendance management issues. In addition to 'roviding read access tothe 'olicies and 'rocedures& attention should be given to ensuring there iscom'etence in the necessar s:ills re*uired to conduct all as'ects o- the 'rocess& -oreCam'le conducting a return to or: intervie in a non3con-rontational a and-ormulating ris: assessment and rehabilitation 'lans.

1+.2 %ll ne o icers should receive in-ormation regarding their individualres'onsibilities in the attendance management 'rocess as 'art o- their induction.

1+.+ 9he organisation should 'rovide accessible regular u'dates hen changes areintroduced& and 'rovide o''ortunit -or clari cation& hile o icers should ta:eres'onsibilit -or -amiliarising themselves ith in-ormation 'rovided.

1+./ 9here should be a''ro'riate training and available in-ormation in 'lace toensure thatH

• %ll 'arties are -amiliar ith and understand the -orceJs attendancemanagement 'olic and 'rocedure& and here it can be located.

14 htt'H?? .:no ledgenet or:.gov.u:?$ ?circular.ns-?757 /++dd+4a445"02 4d/-00/d1 1/?27e"7a-1b edbb+""02 4c-a00+-d5d+@ 'enDocument


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• %ll managers and o icers understand the arrangements& including timescales-or re'orting sic:ness absence.

• %ll managers and o icers understand their res'onsibilities in relation toachieving and maintaining good attendance.

.onitoring Indi!idual Progress1/.1 It is the res'onsibilit o- all managers& using the #orceJs attendancemanagement arrangements and ta:ing advice as necessar & to monitor their o icersJattendance records.

1/.2 8onitoring and recording absence accuratel is essential i- absence is to bemanaged e ectivel and -airl . 8anagers should :ee' a record o- ever absence o-each o icer re'orting to them. %ccurate records are the onl a to identi- henand here 'roblems are occurringK the also 'rovide a historical record -ordetermining 'atterns o- absence -or individual o icers and de'artments.

1/.+ It is the res'onsibilit o- all o icers to ensure that& in the case o- sic:nessabsence the com'l ith the re'orting re*uirements o- the attendancemanagement 'rocedures.

1/./ Nominated sta should be res'onsible -or recording data at the start and end o- 'eriods o- absence& in addition to the reasons -or absence.

1/. 8anagers should also :ee' ritten records o- an action ;or non action< ta:enin relation to their o icers.

Re!ie-s

1 .1 )ver instance o- sic:ness absence is an o''ortunit -or managers to ta:e a'roactive a''roach to eCamining the causes o- absence and 'rovide a''ro'riatesu''ort.

1 .2 #orces ma also set locall de ned and 'ublished revie 'oints& to assistmanagers in identi- ing 'atterns o- absence and ta:ing a''ro'riate action.

1 .+ Revie s are intended to act as a gate a to -urther management su''ort or

action& to ensure that o icers are accessing all the necessar su''ort to im'rovetheir attendance. 9his could include re-erral to occu'ational health& consideration o- LeCible or:ing arrangements& and?or the involvement o- a more senior manager.

1 ./ 6uch revie s can 'rovide a -rame or: -or consistent a''lication o-management intervention& but there is a need to ensure that these are not usedrigidl ithout ta:ing into account individual circumstances. =ine managers shouldhave the con dence and training to use their discretion in a''l ing the 'olic 15 .Ahile revie 'oints ma be o- assistance in identi- ing 'atterns or unusuall highlevels o- absence& managers should not ait until a revie 'oint is reached be-ore

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an action is ta:en. 6imilarl & based on their :no ledge o- a case& managers machoose not to ta:e action& even here a revie 'oint has been reached.

1 . 9he use o- revie s should be non3discriminator & regularl assessed& andsub>ect to a -ull e*ualit im'act assessment.

Audit and Re!ie-

14.1 9o be sure that an attendance management 'rocedure is e ective in achievingits stated ob>ectives& there is a need to ensure that there is a robust and accuratein-ormation collection 'rocess& hich 'rovides realistic and sim'le in-ormation toenable managers to manage attendance in a timel and -air manner.

14. 2 8onitoring in-ormation should be used as a 'ositive tool to identi- areas o-concern and o er the o''ortunit -or targeted im'rovement action here necessar .8onitoring in-ormation should -orm a regular in'ut to (hie- icer Revie meetingsand should also be scrutinised b the a''ro'riate consultative committee. (are

should al a s be ta:en to ensure that in-ormation that is made generall availabledoes not identi- individual o icers and here signi cant -actors are identi ed&revie hether there are underl ing issues that should be addressed.

14.+ #orces should introduce a structured monitoring regime toH

• 8easure the overall 'er-ormance o- the #orce in terms o- absolute levels o-sic:ness absence -or all grou's o- o icers. 9his can identi- trends andindicate hether in overall terms the attendance management'olic ?'rocedures are e ective in reducing absence and maintaining levels o-attendance.

• Identi- hether the #orce is 'er-orming against national set targets andhether there is an im'rovement against the #orceJs 'revious levels.

• Identi- areas o- lo levels o- absence hich ma indicate areas o- good'ractice hich could be shared.

• Identi- areas here there is a high level o- absence& hich ma indicateinade*uate management attention to the active management o- absence& orroles hich ma be 'articularl haSardous.

• Identi- here the #orce a''ears to have 'redominantl short or long termabsences and hether there are 'atterns o- absence.

• 8easure the levels o- sic:ness absence o- di erent grou's ;e.g. gender&ethnicit & age& -ull or 'art time< in order to identi- hether the #orceJs'rocedure im'act dis'ro'ortionatel on an grou'. 9he in-ormation should be-actored into regular e*ualit im'act assessments o- the 'olic .

• %llo managers to see ho their section is 'er-orming alongside other

available or:-orce in-ormation.




14./ 9he $ome ice has develo'ed a standard method o- recording sic:nessabsence& including de nitions and criteria. 9his re*uires absence to be recorded inhours. 9hese should al a s be used as it is necessar to su''l the $ome ice&*uarterl & ith in-ormation so it can 're'are service ide monitoring in-ormation.=ocal 'olicing bodies ill also nd the in-ormation use-ul hen considering #orce'er-ormance. (onsideration should be given to benchmar:ing ith other -orces toassess relative 'er-ormance. #orces ma also nd it hel'-ul to consider the cost tothe organisation o- sic:ness absence.

14. In the collection o- all data& #orces must com'l ith their statutorre*uirements under the Data Protection %ct 155".




ANNE4 A

FAST TRAC5 PROCE3#RES &SPEC)AL CASES'

Introduction

1. 9he -ollo ing 'aragra'hs 'rovide guidance on the o'eration o- the -ast trac:misconduct 'rocedures& re-erred to as s'ecial casesE in the (onduct Regulations.Part o- the (onduct Regulations sets out the 'rocedures -or dealing ith s'ecialcases.

2. 9he s'ecial case 'rocedures can onl be used i- the a''ro'riate authoritcerti es the case as a s'ecial case& having determined that the s'ecial conditionsJare satis ed or i- the IP(( has given a direction under 'aragra'h 20$;7< o-6chedule + to the Police Re-orm %ct 2002.

9he s'ecial conditionsJ are that –

;a< there is su icient evidence& in the -orm o- ritten statements or otherdocuments& ithout the need -or -urther evidence& hether ritten or oral& toestablish on the balance o- 'robabilities& that the conduct o- the 'olice o icerconcerned constitutes gross misconductK and

;b< it is in the 'ublic interest -or the 'olice o icer concerned to cease to be a'olice o icer ithout dela .

9hese 'rocedures are there-ore designed to deal ith cases here the evidence is

incontrovertible in the -orm o- statements& documents or other material ;e.g.((9V< and is there-ore su icient ithout -urther evidence to 'rove grossmisconduct and it is in the 'ublic interest& i- the case is -ound or admitted& -or the'olice o icer to cease to be a member o- the 'olice service -orth ith. +. )ven here the criteria -or s'ecial cases are met there ma be circumstances

here it ould not be a''ro'riate to certi- the case as a s'ecial case& -orinstance& here to do so might 'rematurel alert others ;'olice o icers or non3'olice o icers< ho are& or ma be& the sub>ect o- an investigation.

/. In the case o- non senior o icers the case ill be heard b the 'olice o icerJs

(hie- (onstable ;or e*uivalent ran:s< or in cases here the (hie- (onstable is aninterested 'art or is unavailable& another (hie- (onstable or an %ssistant(ommissioner. In the case o- a senior o icer& the case ill be heard b a 'anel asset out in Regulation /7 o- the Police ;(onduct< Regulations. 9he 'olice o icer illhave a right o- a''eal under rule /;1< o- the Police %''eals 9ribunal Rules 2012 toa Police %''eals 9ribunal against an nding o- gross misconduct and thedisci'linar action im'osed.

Co(plaint cases and conduct (atters dealt -ith $y local, super!ised, (anaged orindependent in!estigation

. Ahere a matter that meets the criteria -or using the s'ecial case 'rocedureshas arisen -rom a com'laint b a member o- the 'ublic& or a conduct matter hichis sub>ect to local& su'ervised& managed or inde'endent investigation& thecom'lainant or interested 'erson ill have the right to attend the s'ecial case




11. I- the a''ro'riate authorit decides that the s'ecial case 'rocedures ill notbe used then he& she or it ill re-er it bac: to the investigator i- -urtherinvestigation is re*uired or to the a''ro'riate authorit to 'roceed under thestandard 'rocedures.

12. I- the a''ro'riate authorit decides that the s'ecial case 'rocedures shouldbe used then he& she or it ill sign a 6'ecial (ase (erti cateE and ill 'rovide tothe 'olice o icer concerned notice giving 'articulars o- the conduct that is allegedto constitute gross misconduct and co'ies o-H 3

• the 6'ecial (ase (erti cate

• an statement the 'olice o icer ma have made to the investigator during thecourse o- the investigation

• 6ub>ect to the harm test& H3

o the investigatorJs re'ort ;i- an < or such 'arts o- that re'ort as relateto the 'olice o icer concerned& together ith an documents attachedto that re'ortK and

o an relevant statement or documents gathered during the course o- the investigation

9he 'olice o icer concerned ill also be told the date& time and 'lace o- thehearing and o- his or her right to legal re'resentation and to advice -rom a 'olice-riendJ.

1+. 9he date o- the meeting ill be not less than 10 or:ing da s and not morethan 1 or:ing da s -rom the date the 6'ecial (ase (erti cateE and otherdocuments are 'rovided to the 'olice o icer concerned.

1/. Aithin 7 or:ing da s o- the rst or:ing da a-ter the da on hich theritten notice and documents are su''lied to the 'olice o icer concerned& the

'olice o icer shall 'rovide a ritten notice to the a''ro'riate authorit o- –

• hether or not he or she acce'ts that his or her conduct constituted grossmisconduct

• here he or she acce'ts that the conduct constituted gross misconduct& ansubmission he or she ishes to ma:e in mitigation

• here he or she does not acce't that the conduct constituted gross misconduct

;a< the allegations he or she dis'utes and his or her version o- the relevanteventsK and

;b< an arguments on 'oints o- la he or she ishes to be considered b the

'erson or 'ersons conducting the meeting.




%t the same time the 'olice o icer shall 'rovide the 'erson conducting or chairing;in the case o- a senior o icer< the hearing ith co'ies o- an documents he or sheintends to rel on at the hearing ;see regulation / <.

1 . 9he (hie- (onstable or %ssistant (ommissioner ;in the 8P6< or (ommissioner;in the case o- the (it o- =ondon Police< ;or the chair o- the hearing in the case o-a senior o icer< should be 'rovided ith the 'a'ers and it should be seen as good'ractice to 'rovide them at least + or:ing da s 'rior to the hearing.

#utco(e of special case hearing

14. Ahere the 'erson;s< conducting the s'ecial case hearing nd that the conducto- the 'olice o icer concerned constituted gross misconduct& then he& she or theshall im'ose disci'linar action& hich ma beH

a< Dismissal ithout notice.

b< % nal ritten arning ;unless a nal ritten arning has been im'osedon the 'olice o icer concerned ithin the 'revious 1" months<.

c< an eCtension o- a nal ritten arning.

Ahere the 'olice o icer concerned has received a nal ritten arning ithin the1" months 'rior to the assessment o- the conduct then in eCce'tionalcircumstances onl & the nal ritten arning ma be eCtended b a -urther 1"months. %n eCtension o- a nal ritten arning can occur on one occasion onl .

17. Ahere the 'erson;s< conducting the hearing determines that the conduct doesnot amount to gross misconduct& then he& she or the ma dismiss the case.

1". %lternativel & he& she or the ma return the case to the a''ro'riate authoritto deal ith at a misconduct meeting or hearing ; here there is a live nal ritten

arning< under the standard 'rocedures. 9his ma be because the 'erson;s<conducting the hearing consider that the conduct is misconduct rather than grossmisconduct.

15. 9here is 'o er under regulation /2 -or the a''ro'riate authorit to remit thecase to be dealt ith under the standard 'rocedures at an time 'rior to the starto- the s'ecial case hearing. 9his might be because he& she or it considers that a'articular itness hose evidence is crucial to the case and is dis'uted must becalled to give oral testimon .

20.Ahere the 'olice o icer admits the allegation or the 'erson;s< conducting thehearing nd it 'roved on the balance o- 'robabilities& then the 'erson;s<conducting the hearing –

a< shall have regard to the record o- 'olice service o- the 'olice o icerconcerned as sho n on his or her 'ersonal recordK

b< ma consider such documentar evidence as ould& in his& her or theiro'inion& assist him& her or them in determining the *uestionK and




c< shall give the 'olice o icer concerned& and his or her 'olice -riend orrelevant la er& an o''ortunit to ma:e oral or ritten re'resentations.

21. 9he 'olice o icer concerned shall be in-ormed o- the nding and andisci'linar action im'osed or a decision to dismiss the case or revert it bac: to bedealt ith under the standard 'rocedures as soon as 'racticable and in an eventshall be 'rovided ith ritten notice o- these matters and a summar o- thereasons ithin or:ing da s beginning ith the rst or:ing da a-ter theconclusion o- the hearing.

A$sence of police o cer concerned at the hearing

22. 9he hearing ma 'roceed in the absence o- the 'olice o icer concerned& butthe 'erson;s< conducting the hearing should ensure that the 'olice o icerconcerned has been in-ormed o- his or her right to be legall re'resented at thehearing or to be re'resented b a 'olice -riend here the 'olice o icer chooses notto be legall re'resented.




ANNE4 B

!isconduct !eetin,s6Hearin,s

Senior Police Officers

1.1 9his section sets out the 'ersons ho ill hear a misconduct case involving asenior 'olice o icer that has been re-erred to either a misconduct meeting ormisconduct hearing.

.isconduct .eeting6Hearings

2.1 Ahere a case is re-erred to a misconduct meeting or hearing the misconduct'roceedings shall be conducted b the -ollo ing 'anel o- 'ersons a''ointed b thea''ro'riate authorit H 3

;i< a legall *uali ed 'erson ho shall be the chair 14 K

;ii<$8(I( or an ins'ector o- constabular nominated b $8(I(K and

;iii< a 'erson selected -rom a list o- candidates maintained b a local'olicing bod .

2.2 9he senior o icer concerned should be in-ormed o- the names o- the 'ersons

a''ointed to conduct the misconduct meeting?hearing together ith the name o-an 'erson a''ointed to advise such 'ersons at the meeting?hearing as soon asreasonabl 'racticable a-ter the have been a''ointed.

2.+ 9he senior o icer ma ob>ect to an 'erson hearing or advising at a misconductmeeting or hearing ithin + or:ing da s starting ith the rst or:ing da a-terhe or she as noti ed o- the 'ersonJs name. In doing so the senior o icerconcerned ill need to set out clear and reasonable ob>ections as to h a'articular 'erson;s< should not conduct or advise at the 'roceedings.

2./ I- the senior o icer concerned submits a com'elling reason h such a 'ersonshould not be involved in the 'roceedings& a re'lacement should be -ound and thesenior o icer ill be noti ed o- the name o- the re'lacement and the senior o icerconcerned ill have the same right to ob>ect to that 'erson. 9he senior o icerconcerned ma ob>ect to a 'erson;s< conducting a misconduct meeting or hearingor advising at such 'roceedings i-& -or eCam'le& the 'erson;s< have been involved inthe case in a a that ould ma:e it di icult to ma:e an ob>ective and im'artialassessment o- the -acts o- the case.

2. 9he chair o- the misconduct 'roceedings shall& as soon as 'ossible a-ter the'roceedings& submit a re'ort to the a''ro'riate authorit & together ith a co' tothe senior o icer concerned& setting outH3

16 % list o- such legall *uali ed 'ersons is maintained b the $ome ice. Version 2 – Revised 8a 2012 122



;a< Ahether or not misconduct or gross misconduct has been -ound againstthe senior o icer concerned. 9his should include an relevant ndings o- -act.

;b< 9he reasons -or that nding.

;c< I- that nding as that the conduct o- the senior o icer concernedamounted to misconduct or gross misconduct ;as the case ma be<& arecommendation as to an outcome hich in the o'inion o- the 'anel shouldbe im'osed

;d< %n other matter arising out o- the 'roceedings hich it desires to bringto the notice o- the a''ro'riate authorit .

2.4 n recei't o- the re'ort the a''ro'riate authorit ill hold a -urther meetingor hearing. 9he 'rocedure -or this -urther meeting or hearing is e ectivel thesame as -or an other meeting or hearing here outcome is to be decided – the

relevant (onduct Regulations dealing ith 'rocedural re*uirements continue toa''l . %t the meeting or hearing the a''ro'riate authorit ma record a ndingthat the conduct o- the 'olice o icer concerned amounted to misconduct and ta:eno -urther action or im'ose one o- the outcomes listed at 'aragra'h 2.20 o- thisguidance.

Version 2 – Revised 8a 2012 123



ANNE4 C

APPEALS TO POL)CE APPEALS TR)B#NAL

POL)CE APPEALS TR)B#NAL R#LES 71

B* Introduction

1.1 9his guidance relates to a''eals made to a Police %''eals 9ribunal -or mattersthat have been dealt ith under the Police ;(onduct< Regulations 2012 and thePolice ;Per-ormance< Regulations 2012.

1.2 %''eals made to a Police %''eals 9ribunal that ere dealt ith under thePolice ;(onduct< Regulations 200" or the Police ;Per-ormance< Regulations 200"

ill be dealt ith under the Police %''eals 9ribunals Rules 200". 9he 'reviousedition o- this guidance continues to a''l in those cases& but regard should behad to the transitional 'rovisions in the Police %''eals 9ribunal Rules 2012 hichset out the a s in hich the 200" Regulations are modi ed to reLect there'lacement o- 'olice authorities b 'olice and crime commissioners and thetrans-er o- res'onsibilit -or senior o icers to the chie- o icer o- 'olice.

1.+ #or the 'ur'oses o- this guidance the -ollo ing terms ill be usedH 3

• %''ellantJ – 9he 'olice o icer ho has submitted an a''eal.

• Res'ondentJ – In the case o- an a''eal brought b a 'olice o icer other than

the chie- o icer& the res'ondent ill be the chie- o icer o- that -orce. #orchie- o icers the res'ondent is the local 'olicing bod -or that -orce.

• Aor:ing Da J – means an da other than a 6aturda or 6unda or a dahich is a ban: holida or a 'ublic holida in )ngland and Aales

)* +cope

2.1 % 'olice o icer has a right o- a''eal to a Police %''eals 9ribunal against andisci'linar nding and?or disci'linar outcome im'osed at a misconduct hearingor s'ecial case hearing held under the Police ;(onduct< Regulations 2012. 6enior'olice o icers& in addition& have the right to a''eal to a Police %''eals 9ribunalagainst an disci'linar nding and?or outcome im'osed at a misconduct meeting.

% 'olice o icer ma not a''eal to a tribunal against a nding o- misconduct orgross misconduct here that nding as made -ollo ing acce'tance b the o icerthat his or her conduct amounted to misconduct or gross misconduct ;as the casema be<.

2.2 % 'olice o icer o- a ran: u' to and including chie- su'erintendent has a righto- a''eal to a Police %''eals 9ribunal against the nding and?or the -ollo ingoutcomes im'osed -ollo ing a third stage meeting under the Police ;Per-ormance<

Regulations 2012H 3i< DismissalK or




ii< Reduction in ran:

2.+ In addition to the outcomes at ;i< and ;ii<& i- the case has been dealt ith at astage three meeting& ithout having 'rogressed through stages 1 and 2& the 'oliceo icer ma a''eal against the -ollo ing outcomesH 3

;a< rede'lo ment to alternative duties

;b< the issue o- a nal ritten im'rovement notice

;c< the issue o- a ritten im'rovement notice

2./ % 'olice o icer ma not a''eal against a nding o- unsatis-actor'er-ormance or attendance& or gross incom'etence at a third stage 'er-ormancemeeting here that nding as made -ollo ing acce'tance b the o icer that hisor her 'er-ormance or attendance has been unsatis-actor or that he or she hasbeen grossl incom'etent ;as the case ma be<.

>* Co(position and ti(ing of Police Appeals Tri$unals

+.1 9he com'osition o- a Police %''eals 9ribunal is set out in 6chedule 4 to thePolice %ct 1554 ;as amended<. Ahere the a''eal is made b a 'olice o icer ho isnot a senior o icer& the 9ribunal a''ointed b the local 'olicing bod ill consisto-H 3

a< a legall *uali ed chair dra n -rom a list maintained b the $ome iceK

b< a serving senior o icer ;%(P ran:<K and

c< a retired member o- a 'olice -orce ho as a member o- an a''ro'riate staassociationE.

+.2 %n a''ro'riate sta associationE means i- the a''ellant as o- the ran: o-chie- su'erintendent or su'erintendent& the Police 6u'erintendentsJ %ssociation o-)ngland and Aales. In an other case& it means the Police #ederation o- )nglandand Aales.

+.+ Ahere the a''ellant is a senior o icer& the 9ribunal a''ointed b the local'olicing bod ill consist o-H3

a< a legall *uali ed chair dra n -rom a list maintained b the $ome iceK

b< $8 (hie- Ins'ector o- (onstabular or an Ins'ector nominated b the (hie-Ins'ectorK and

c< the Permanent 6ecretar to the $ome ice or a $ome ice Directornominated b the Permanent 6ecretar . +./ % 'erson should not sit on a Police %''eal 9ribunal -or a senior o icer i- the

have alread heard the same case at a misconduct meeting or misconduct hearing.




+. It is eC'ected that a tribunal ill ta:e 'lace as soon as reasonabl 'racticableand in an case should ta:e 'lace no later than + months o- the determination b atribunal chair that a hearing should be held.

+.4 It ill be the res'onsibilit o- the local 'olicing bod to satis- itsel- that themembers ho are to sit on a Police %''eals 9ribunal are su icientl inde'endento- the matter so as not to give rise to an suggestion o- un-airness. 9he servingsenior o icer on the 9ribunal should not be -rom the same -orce as the a''ellant.

@* Grounds of appeal

/.1 % Police %''eals 9ribunal is not a re hearing o- the original matterK rather itsrole is to consider an a''eal based on s'eci c grounds.

/.2 In the case o- matters dealt ith under the Police ;(onduct< Regulations 2012the grounds -or a''eal areH 3

a< 9hat the nding or disci'linar action im'osed as unreasonableK orb< that there is evidence that could not reasonabl have been considered at themisconduct meeting ;in the case o- senior 'olice o icers<& the misconduct hearingor s'ecial case hearing ;as the case ma be<K or

c< that there as a breach o- the 'rocedures set out in the Police ;(onduct<Regulations 2012& the Police ;(om'laints and 8isconduct< Regulations 2012&6chedule + to the Police Re-orm %ct 2002 or other un-airness hich could havemateriall a ected the nding or decision on disci'linar action.

/.+ In the case o- matters dealt ith under the Police ;Per-ormance< Regulations2012 the grounds -or a''eal areH 3

a< 9hat the nding o- unsatis-actor 'er-ormance or attendance or grossincom'etence& or the outcome im'osed& as unreasonableK or

b< that there is evidence that could not reasonabl have been considered at thethird stage meeting hich could have materiall a ected the nding or decision onthe outcomeK or

c< that there as a breach o- the 'rocedures set out in the Police ;Per-ormance<Regulations 2012 or other un-airness hich could have materiall a ected the

nding or decision on the outcomeK or

d< here the 'olice o icer as re*uired to attend a third stage meeting-ollo ing a rst and second stage meeting& that the 'olice o icer concerned shouldnot have been re*uired to attend that meeting as his or her unsatis-actor'er-ormance or attendance as not similar to or connected ith the unsatis-actor'er-ormance or attendance re-erred to in his or her nal ritten im'rovementnotice.

* 9otice of appeal

.1 Ahere a 'olice o icer ishes to a''eal then he or she ill need to give noticeo- his or her a''eal in riting to the local 'olicing bod . 9he notice o- a''eal must




be given ithin 10 or:ing da s& beginning ith the rst or:ing da a-ter the'olice o icer is rst su''lied ith a ritten co' o- the decision that he or she isa''ealing against.

.2 In cases here the 'olice o icer -ails to submit his or her notice o- a''ealithin the 10 or:ing da s 'eriod& he or she ma & ithin a reasonable time a-ter

the end o- that 'eriod& submit a notice o- a''eal hich shall be accom'anied bthe reasons h it as not submitted ithin that 'eriod& and the reasons -or theo icerJs vie that it as served ithin a reasonable time a-ter that 'eriod.

.+ 9he local 'olicing bod ill a''oint a Police %''eals 9ribunal chair to dealith the notice o- a''eal and an a''lications -or eCtensions to the time limits.

;6ee 'aragra'hs 4 to " belo <. 9he same chair ma & but need not& chair thetribunal that deals ith the substantive a''eal& i- the matter 'roceeds to thatstage.

./ ,'on recei't o- an a''eal that has been submitted outside the 10 or:ing da

time limit& the local 'olicing bod shall send a co' o- the notice and the reasons toa tribunal chair& ho shall determineH 3

a< hether or not it as reasonabl 'racticable -or the notice to be given ithinthe time limit& and

b< hether the notice as submitted ithin a reasonable time a-ter the end o- the10 da 'eriod -or submitting a notice o- a''eal.

. Ahere the tribunal chair determines that it as reasonabl 'racticable tohave submitted the notice o- a''eal ithin the time limit or the chair determinesthat the notice as not submitted ithin a reasonable time a-ter the end o- the 10da time limit& the a''eal shall be dismissed. Ahere the tribunal chair determinesthat it as not reasonabl 'racticable to have submitted the notice ithin the 10

or:ing da 'eriod and that the notice as given ithin a reasonable time a-terthe end o- that 'eriod& the a''eal shall be allo ed to 'roceed.

.4 In his or her notice o- a''eal& the a''ellant ma re*uest a co' o- all or 'arto- the transcri't o- the original hearing.

.7 9he local 'olicing bod & u'on recei't o- a notice o- a''eal& shall& as soon asreasonabl 'racticable& send a co' o- the notice to the res'ondent and ; here thea''eal is a s'eci ed a''eal 17 < to the Inde'endent Police (om'laints (ommission;IP((<.

;* Procedure on notice of appeal

4.1 %s soon as reasonabl 'racticable a-ter recei't o- a co' o- the notice o-a''eal and in an case ithin 1 or:ing da s ;beginning ith the rst or:ingda -ollo ing the da o- such recei't< the res'ondent shall 'rovide to the local'olicing bod H 3

17 % s'eci ed a''eal is one here the decision a''ealed against arose -rom acom'laint or conduct matter to hich 'aragra'h 17& 1" or 15 o- 6chedule + to thePolice Re-orm %ct 2002 ;investigations< a''lied.




a< a co' o- the decision a''ealed against ;namel the ritten >udgement o- theoriginal 'anel?'erson<K

b< an documents that ere available to the 'anel?'erson conducting the originalhearingK and

c< the transcri't or 'art o- the transcri't o- the 'roceedings at the original hearingre*uested b the a''ellant ;see .4 above<

4.2 % co' o- the transcri't ;i- a''licable< shall also at the same time be sent tothe a''ellant.

4.+ 9he a''ellant& ithin 20 or:ing da s beginning ith the rst or:ing da-ollo ing the da on hich he or she is su''lied ith a co' o- the transcri't or&

here no transcri't is re*uested& ithin + or:ing da s ;beginning ith the rstor:ing da -ollo ing the da on hich the a''ellant gave notice o- his or her

a''eal<& shall 'rovide to the local 'olicing bod H 3

a< a notice setting out the nding& disci'linar action or outcome a''ealed againstand o- his or her grounds -or the a''ealK

b< an su''orting documents

c< here the a''ellant is allo ed to call itnesses ;-or a''eals made onl on theground o- there being evidence that could not reasonabl have been considered atthe original hearing and hich could have materiall a ected the nding oroutcome<H 3

i< a list o- an 'ro'osed itnessesK and

ii< a itness statement -rom each o- the 'ro'osed itness

d< I- he or she consents to the a''eal being determined ithout a hearing ;that is&on the basis o- the 'a'ers alone<& notice in riting that he or she so consents.

4./ In relation to the a''ellant& a 'ro'osed itnessE is a 'erson hom thea''ellant ishes to call to give evidence at the hearing& hose evidence as notand could not reasonabl have been considered at the hearing and hose evidencecould have materiall a ected the decision being a''ealed against.

4. Not later than 20 or:ing da s& beginning ith the rst or:ing da -ollo ingthe da on hich the res'ondent receives the documents -rom the local 'olicingbod & the res'ondent shall send to the local 'olicing bod H 3

a< a statement setting out the res'ondentJs res'onse to the a''ealK

b< an su''orting documentsK

c< here the res'ondent is 'ermitted to adduce itness evidenceH 3

i< a list o- an 'ro'osed itnessesK

ii< a itness statement -rom each o- the 'ro'osed itnessesK and




d< I- he or she consents to the a''eal being determined ithout a hearing ;that is&on the basis o- the 'a'ers alone<& notice in riting that he or she so consents

4.4 9he res'ondent should also send to the a''ellant& at the same time& a co' o-the documents in ;a<&;c< and ;d< above& together ith a list o- an documentssubmitted under ;b<.

4.7 9he local 'olicing bod ill send a co' o- the 'a'ers submitted b theres'ondent and a''ellant to the tribunal chair a''ointed to deal ith the notice o-a''eal as soon as 'racticable -ollo ing recei't.

4." 9he res'ondent ma onl 'ro'ose a itness to attend here the ground -ora''eal b the a''ellant is that there is evidence that could not reasonabl havebeen considered at the original hearing hich could have materiall a ected the

nding or decision on disci'linar action or the outcome. In such cases theres'ondent ma 'ro'ose a itness ho ma give evidence to deal ith the issue

raised b the a''ellant. %n eCam'le ma be here the a''ellant submits nemedical evidence that as not available to the original hearing and the res'ondentishes to 'ro'ose its o n itness to give evidence on this issue.

4.5 In the event that the chair decides that there should be a hearing& and thea''ellant had consented to the matter being determined on the 'a'ers& thea''ellant is under no obligation to attend but is entitled to reconsider his or her'osition. 9he a''ellant ma also reconsider his or her consent to the determinationo- the a''eal on the basis o- the 'a'ers 'rior to a determination on this issue bthe chair. 9he a''ellantJs ithdra al o- consent should be noti ed to the local'olicing bod in riting and i- this occurs& a hearing must be held.

4.10 Ahere the a''ellant& having seen the documents sent in b the res'ondent&ithdra s his or her consent to the matter being dealt ith on the 'a'ers& a

hearing must be held.

* E=tension of ti(e li(its

7.1 9he a''ellant or the res'ondent can a''l to the local 'olicing bod -or aneCtension to the time limits stated above -or 'roviding documents ;eCce't the time-or giving notice o- a''ealH see 'aragra'h < setting out its reasons -or thea''lication and the additional time 'eriod it is see:ing.

7.2 9he local 'olicing bod ill co' an a''lication b the res'ondent or thea''ellant to the other 'art as soon as 'racticable a-ter recei't and as: hether itconsents to the a''lication.

7.+ Ahere the other 'art consents to the a''lication -or more time then the local'olicing bod shall eCtend the time to the agreed time limit. Ahere the other 'artdoes not consent then the local 'olicing bod ill re-er the matter to the tribunalchair ho shall determine hether the relevant time 'eriod should be eCtendedand i- so -or ho long.

7./ 9here is an eC'ectation that the time limits ill ordinaril be com'lied ithand onl in eCce'tional circumstances& -or eCam'le due to the com'leCit o- thecase& ill a time limit be eCtended.




?* Re!ie- of notice of appeal

".1 ,'on recei't o- the documents submitted to him or her b the local 'olicingbod & the chair a''ointed to consider the notice o- a''eal shall determine hetherthe a''eal should be dismissed at this stage. It is eC'ected that the chair illnormall ma:e his or her 'reliminar determination ithin 10 or:ing da s o-receiving the documents ;see also 'aragra'h "./<.

".2 9he tribunal chair ill dismiss the a''eal at this stage i- he or she considersthatH 3

a< the a''eal has no real 'ros'ect o- successK and

b< there is no other com'elling reason h the a''eal should 'roceed.

".+ Ahere the tribunal chair is minded to dismiss the a''eal at this stage& he or

she ill noti- the a''ellant and the res'ondent in riting o- his or her vietogether ith his or her reasons be-ore ma:ing his or her nal determination.

"./ 9he a''ellant and the res'ondent ma ithin 10 or:ing da s& beginning iththe rst or:ing da a-ter the da o- being noti ed o- the chairJs 'reliminar vie &ma:e ritten re'resentations to the chair and the chair ill consider suchre'resentations be-ore coming to his or her nal decision.

". 9he tribunal chair shall in-orm the a''ellant& res'ondent and local 'olicingbod o- his or her nal decision. It is eC'ected that the tribunal chairJs decision

ill be made and communicated ithin 10 or:ing da s o- recei't o- the last o- there'resentations. Ahere the tribunal chair dismisses the a''eal then thenoti cation ill include his or her reasons -or doing do.

* Deter(ination of an appeal

5.1 Ahere the tribunal chair allo s the a''eal to go -or ard to a tribunal hearingthen the local 'olicing bod ill be res'onsible -or ma:ing the administrativearrangements 'rior to and at the tribunal and -or ensuring that the members o- thetribunal a''ointed to deal ith the a''eal are sent the 'a'ers together ith aschedule o- the documents that each o- the members should have.

5.2 9he tribunal chair ho made the determination as to hether to allo thenotice o- a''eal to 'roceed to a tribunal need not necessaril be the same tribunalchair ho hears the subse*uent a''eal. $o ever& the chair ho ma:es thedecision as to hether the a''eal should be dealt ith at a hearing or on the'a'ers should be the chair a''ointed to hear the a''eal itsel-.

5.+ Ahere an a''eal has not been dismissed at the revie stage& the tribunalchair shall determine hether the a''eal should be dealt ith at a hearing. It iseC'ected that this decision ill be made b the tribunal chair ithin 10 or:ingda s o- receiving the 'a'ers. I- the a''ellant has not consented to an a''eal being

dealt ith on the 'a'ers then a hearing shall be held. I- the a''ellant hasconsented& the tribunal chair ma determine that the a''eal shall be dealt ithithout a hearing. I- the a''eal is to be dealt ith at a hearing& the chair shall give

the a''ellant and the res'ondent his or her name and contact address.




B4* Po-er to re uest disclosure of docu(ents

10.1 %t an time a-ter the a''ellant and res'ondent have submitted theirres'ective documents& the a''ellant or res'ondent ma a''l to the tribunal chair-or disclosure o- an document b the other 'art hich is relevant to the a''eal.

10.2 9he tribunal chair ma re*uest the disclosure o- an such document andhere it is disclosed& a co' shall be given to the tribunal chair and the re*uesting

'art .

10.+ Ahere the a''ellant or res'ondent does not com'l ith a re*uest to disclosean document& then the a''ellant or res'ondent ;as a''ro'riate< shall give thetribunal chair and the other 'art their reasons -or non3disclosure in riting.

10./ 9he tribunal in ma:ing its determination o- the a''eal ma ta:e into accountan non3disclosure o- documents here the tribunal decides that the re*uested

documents ma have been relevant to the determination o- the a''eal.BB* 2egal and other representation

11.1 9he a''ellant can be re'resented at a hearing b a relevant la er or a 'olice-riend. Ahere the a''ellant is re'resented b a la er then the a''ellantJs 'olice-riend ma also attend. ;6ee the section on Police -riendsJ in the introduction tothe !uidance<.

11.2 9he res'ondent ma be re'resented at the hearing b a relevant la er& a'olice o icer& the chie- eCecutive or other o icer or em'lo ee o- the relevant local'olicing bod .

B)* Procedure at hearing

12.1 Ahere the case is to be heard at a tribunal hearing& the chair o- the tribunalshall cause the a''ellant and the res'ondent to be given ritten notice o- the time&date and 'lace o- the hearing& at least 20 or:ing da s or such shorter 'eriod asma ith the agreement o- both 'arties be determined& be-ore the hearing begins.

12.2 6ub>ect to the rules set out in the Police %''eals 9ribunal Rules 2012& the'rocedure at the tribunal shall be determined b the tribunal.

12.+ 9he tribunal chair ill determine in advance o- the tribunal hether to alloan itness that the a''ellant or res'ondent 'ro'oses to call to give evidence atthe tribunal.

12./ Aitnesses ill onl be 'ermitted here the ground -or a''eal is that there isevidence that could not reasonabl have been considered at the original hearing

hich could have materiall a ected the nding or decision on outcome.

12. No itnesses shall give evidence at the hearing unless the chair reasonabl

believes that it is necessar -or the itness to do so.

12.4 %n itness that does attend the tribunal ma be sub>ect to *uestioning andcross *uestioning.




12.7 It is -or the 9ribunal to decide on the admissibilit o- an evidence& or todetermine hether or not an *uestion should or should not be 'ut to a itness.

12." 9he local 'olicing bod shall arrange -or a verbatim record o- evidence givenat the tribunal to be ta:en and :e't b the local 'olicing bod -or at least 2 ears.

12.5 9he 9ribunal have discretion to 'roceed ith the hearing in the absence o-either 'art & hether re'resented or not& i- it a''ears to be >ust and 'ro'er to doso. Ahere it is decided to 'roceed in the absence o- either 'art the 9ribunalshould record its reasons -or doing so. 9he 9ribunal ma ad>ourn the a''eal asnecessar .

12.10 9he hearing shall be held in 'rivate. 9he 9ribunal ma allo a 'erson toattend the hearing as an observer -or the 'ur'oses o- training. n the a''licationo- the a''ellant or the res'ondent or other ise& the tribunal chair ma re*uire anobserver to ithdra -rom all or an 'art o- the hearing.

B>* Attendance of other persons

1+.1 Ahere the matter to be dealt ith at the a''eal is related directl to acom'laint made against the a''ellant or a conduct matter involving an interested'art & then the chair o- the tribunal shall cause the com'lainant or interested 'artto be given notice o- the time& date and 'lace o- the tribunal.

1+.2 9he com'lainant or interested 'art ma attend the tribunal as an observer.9he com'lainant or interested 'art ma be accom'anied b one other 'erson andin addition& i- the com'lainant or interested 'art has a s'ecial need& b one-urther 'erson to accommodate that need.

1+.+ Ahere the com'lainant or interested 'art or an 'erson accom'an ing themis to give evidence at the tribunal& then he or she or an 'erson accom'an ing himor her ma not attend the hearing be-ore that evidence is given.

1+./ Ahere the a''eal is a s'eci ed a''ealJ ;see -ootnote 17<& then the tribunalchair shall cause the IP(( to be noti ed o- the time& date and location o- thetribunal. In such cases the IP(( ma attend as an observer.

B@* Deter(ination and #utco(e of Appeal

1/.1 % tribunal need not be unanimous in its determination o- the a''eal or o- another decision be-ore it and ma reach a decision based on a ma>orit . Ahere atribunal nds itsel- divided e*uall & the tribunal chair ill have the casting vote.9he tribunal shall not indicate hether an determination as ta:en unanimouslor b a ma>orit .

1/.2 % tribunal& hen determining an disci'linar or unsatis-actor 'er-ormanceoutcome im'osed& ma im'ose an outcome that the original 'anel?'erson could




have im'osed. 9he tribunal has the 'o er to increase as ell as reduce theoutcome im'osed b the original 'anel?'erson.

1/.2% Ahere the tribunal decides that the nding or outcome ma be unsa-e dueto ne evidence under rule /;/<;b< o- the P%9 Rules or 'rocedural un-airnessunder rule /;/<;c<& then the tribunal ma set aside the relevant decision and remitthe matter bac: to the -orce to be decided again in accordance ith the relevant'rovisions o- the (onduct Regulations or the Per-ormance Regulations. Ahere theoriginal decision as ta:en b a 'anel& the case ill be reheard b a -resh 'anel

hich does not contain an o- the members o- the original 'anel.

1/.+ 9he decision o- the tribunal ill normall be made on the da o- the tribunalhearing. Ahere this is not 'racticable then the decision ill be made as soon as'ossible.

1/./ 9he tribunal chair shall& ithin + or:ing da s o- the tribunal determining thea''eal& give ritten notice to the a''ellant o- the tribunalJs decision.

1/. %s soon as reasonabl 'racticable a-ter the determination o- the a''eal thetribunal chair shall cause to be sent to the a''ellant& res'ondent and local 'olicingbod a ritten statement o- its reasons -or its determination o- the a''eal. It iseC'ected that this ill normall be sent ithin 20 or:ing da s o- thedetermination o- the a''eal.

1/.4 % 'olice o icer ordered to be reinstated in his or her -ormer -orce or ran: illbe deemed to have served in his or her -orce and?or ran: continuousl -rom thedate o- the original decision to the date o- reinstatement. Reinstatement meansthat the o icer is 'ut bac: in the role that he or she ould have been in i- notdismissed or reduced in ran: ith immediate e ect. ,nless other ise determinedb the 9ribunal the o icer is deemed to have served in the -orce -or the 'ur'oseso- his or her 'a -rom the date o- the original decision.

B * Costs

1 .1 %n -ees and eC'enses o- the tribunal members ill be borne b the local'olicing bod .

1 .2 %n a''ellant 'a s their o n costs o- the a''eal unless the tribunal directsthat the hole or 'art o- his or her costs are to be 'aid b the local 'olicing bod .Ahere the 9ribunal decides to a ard costs in -avour o- the a''ellant& it issuggested that the 9ribunal sets out the reasons -or this and identi es an lessonsto be learned -or the -orce as a result o- the case.




ANNE4 3

SECON3E3 POL)CE OFF)CERS

#N3ER SECT)ON 0. OF THE POL)CE ACT 100-

1.1 9his guidance sets out the 'rocedures -or dealing ith matters o-unsatis-actor 'er-ormance or attendance and misconduct allegations in res'ect o- 'olice o icers ho are seconded under the 'rovisions o- 6ection 57 o- the Police

%ct 1554.

1.2 9he 'rocedures set out in the Police ;(onduct< Regulations 2012 and Police;Per-ormance< Regulations 2012 cannot be a''lied b the organisation to hichthe 'olice o icer is seconded under 6ection 57 o- the Police %ct 1554. $o ever the'rocedures set out in the Regulations can be a''lied b the 'arent -orce in res'ecto- conduct& 'er-ormance or attendance hilst on secondment.

1.+ 9hose res'onsible -or managing 'olice o icers on secondment are eC'ected tou'hold the 'rinci'les contained ithin this guidance& namel to manage an issueo- unsatis-actor 'er-ormance or attendance or minor misconduct in a'ro'ortionate& -air and timel manner ithout returning an o icer to his or her'arent -orce. nl i- it is necessar to institute the -ormal 'rocedures should ano icer be returned to -orce& in accordance ith the 'rinci'les and 'rocedureseC'ressed belo . ONM here an o icer is on secondment under the Police; verseas 6ervice< %ct 15/ & ith the Police mbudsman -or Northern Ireland or

ith the Police 6ervice o- Northern Ireland& then he can be dealt ith b the

receiving organisation under their disci'linar arrangements. $o ever& on returnto his -orce& he can still be dealt ith under the Police disci'linar arrangements inres'ect o- the same matters.

1./ It is im'ortant that 'olice o icers on secondment are clear about ho has linemanagement res'onsibilit -or them. 9he line managers -or such 'olice o icersmust ensure that the 'olice o icer continues to have a PDR ;or e*uivalent< and ismade a are o- these arrangements -or dealing ith issues o- misconduct orunsatis-actor 'er-ormance or attendance.

"nsatisfactory perfor(ance procedures

2.1 It is recognised that the 'ublic is entitled to eC'ect the highest standards o-'er-ormance o- 'olice duties -rom all seconded 'olice o icers. 6imilarl & managersneed a management s stem hich both su''orts 'olice o icers 'er-orming theirtas:s and rein-orces the aims o- both the service and the organisation to hich the'olice o icer is seconded.

2.2 ,nli:e the broad 'olicing -unctions 'er-ormed b 'olice -orces throughout)ngland and Aales& the nature and range o- the tas:s carried out b 'olice o icers

ho are seconded -rom their -orces are s'eci c and& b their nature ma be

narro and?or s'ecialist. It -ollo s that the need to deal -airl ith such 'oliceo icers hose 'er-ormance is giving rise to concern re*uires 'articular attention.




2.+ Ahere a 'attern o- 'er-ormance b a seconded 'olice o icer is giving rise toconcern& the line manager should raise his or her concerns ith the 'olice o icerconcerned and see: to identi- an underl ing causes o- the unsatis-actor'er-ormance or attendance. 9he line manager should see: to im'rove the 'oliceo icerJs 'er-ormance or attendance to an acce'table standard.

2./ Ahere there is no or insu icient im'rovement in the 'er-ormance orattendance o- the 'olice o icer& the seconded 'olice o icerJs line manager should're'are a ritten re'ort hich details the nature o- the unsatis-actor'er-ormance or attendance together ith the remedial and other measures ta:en&and send this re'ort to the head o- the organisation to hich the 'olice o icer isseconded ;or his or her nominated re'resentative<. 9he head o- the organisation;or nominated re'resentative<& in con>unction ith the a''ro'riate authorit -orthe 'olice o icer concerned& ill decide hether it is a''ro'riate that the 'oliceo icer concerned should be returned to his or her 'arent -orce or hether theunsatis-actor 'er-ormance or attendance can be addressed ith the 'olice o icerremaining on secondment.

2. Ahere a 'olice o icer ho has been returned to his or her 'arent -orce underthis 'rocedure continues to demonstrate the same 'attern o- unsatis-actor'er-ormance or attendance then the details o- the unsatis-actor 'er-ormance orattendance hilst on secondment ma be used to in-orm the decision hether it isa''ro'riate to use the ,PPs.

.isconduct procedures

+.1 9he 'ublic and colleagues ith hom 'olice o icers or: are entitled toeC'ect the highest level o- 'ersonal and 'ro-essional standards o- 'olice o icers.9hose serving on secondment are eC'ected to act in accordance ith the6tandards o- Pro-essional Mehaviour ;see 6ection 1<.

+.2 6ection 2 o- this guidance sets out the 'rinci'les -or dealing ith allegationso- misconduct. 9his allo s -or less serious matters to be dealt ith in a'ro'ortionate and timel manner b means o- management action and this'rinci'le ill a''l to 'olice o icers ho are seconded to other organisations ithhost line managers having the res'onsibilit -or dealing ith these issues.

+.+ 9he organisation to hich the 'olice o icer has been seconded ill need toma:e an initial assessment o- the allegation o- misconduct. I- that assessmentdetermines that the matter can be dealt ith b management action then theseconded o icerJs manager is eC'ected to deal ith the matter in this a . %s 'arto- this decision ma:ing 'rocess& it ma be necessar -or the line manager tocontact the a''ro'riate authorit -or the seconded o icer to assist in determiningthe nature o- the conduct and hether it should be investigated. In this regard& thea''ro'riate authorit ill need to consider its obligations under the Police Re-orm

%ct 2002 and an re*uirement to re-er a matter to the Inde'endent Police(om'laints (ommission.

+./ $o ever& here the line manager considers that an alleged breach o- the

6tandards o- Pro-essional Mehaviour is more serious and indicates that the 'oliceo icer concerned ma have committed a criminal o ence& or behaved in a mannerthat ould >usti- the bringing o- disci'linar 'roceedings& then the head o- theorganisation to hich the 'olice o icer is seconded ;or his or her nominated




re'resentative< ill liaise ith the a''ro'riate authorit -rom hich the 'oliceo icer concerned is seconded to assess hether the o icer should be returned tothe -orce hile a 'reliminar assessment into the matter is conducted b the'arent -orce. I-& as a result o- that 'reliminar assessment& the 'arent -orceconsiders it a''ro'riate to issue a Regulation 1 notice in relation to the matterthen the o icer must be returned to -orce.

+. Ahere it is determined b the a''ro'riate authorit -or the seconded o icerand the organisation to hich he or she is seconded& that the conduct& i- 'roved oradmitted& ould not >usti- the bringing o- disci'linar 'roceedings thenmanagement action ma still be ta:en here a''ro'riate.

+.4 %t the conclusion o- an disci'linar 'roceedings& here the 'olice o icer hasbeen returned to the 'arent -orce& then the 'arent -orce together ith theorganisation to hich the 'olice o icer concerned as seconded& ill decide i- it isa''ro'riate -or the 'olice o icer to be able to resume his or her secondment.

+.7 9he arrangements set out in this guidance should be agreed to as 'art o- thesecondment agreements in -orce bet een the 'olice -orce& the receivingorganisation and the o icer. 9his ill ensure that the receiving organisationacce'ts its role as set out above& and that the o icer gives his or her consent to theeCchange o- in-ormation bet een the receiving organisation and the home -orce.




ANNE4 E

Notice of alle,ed 8reach of the Standards of Professional Behaviour Re,ulation 1+ Police &Conduct' Re,ulations 71 and Re,ulation 1- Police &Co%2laints

and !isconduct' Re,ulations 71

NameH AarrantnumberH

Ran:H

Name o- com'lainant ;I-a''ro'riate<H

(ase re-erence numberH

9his is to noti- ou that an allegation has been made that our individualconduct ma have breached the 6tandards o- Pro-essional Mehaviour and thatthere ill be an investigation into the circumstances.

Ahilst ou do not have to sa an thing it ma harm our case i- ou do notmention hen intervie ed& or hen 'roviding an in-ormation ;underregulations 14;1< or 22;2< or ;+< or / o- the Police ;(onduct< Regulations2012 or regulation 1" o- the Police ;(om'laints and 8isconduct< Regulations2012<& something hich ou later rel on in an misconduct 'roceedings ors'ecial case hearing or an a''eal 'roceedings.

9he details o- our conduct that it is alleged ma have breached the 6tandardso- Pro-essional Mehaviour can be -ound belo . ;6ee notes overlea-<.

Mased on the in-ormation available at this time the conduct described above& i-'roven or admitted& has been assessed as amounting toH

8isconduct !ross8isconduct

9his ma result in our attendance at aH




8isconduct 8eeting 8isconduct$earing

;continue on se'arate sheet as necessar <

Name o- 'erson investigating

(ontact Details ;%ddress ? 9el ? )3mail<

6ignature o- 'erson investigating DateH

ac+nowledge that have received a copy of this document and my attention has been drawn to theaccompanying notes.

6ignature o- icer concerned. DateH

Print Name

I authorise a co' o- this notice to be -or arded to m 6ta %ssociation. TesNo

6ignature o- icer concerned.I- the notice is not given to the o icer b the 'erson investigating 'lease a''endthe name and signature o- the 'erson giving the notice belo H 3

NameH 6ignatureHDateH

E P2A9AT#R 9#TE+

. 9his notice has been issued to in-orm ou at the earliest 'ossible stage thatan allegation has been made that ou ma have breached the 6tandards o- Pro-essional Mehaviour and that there is to be an investigation into our




individual conduct in accordance ith the Police ;(onduct< Regulations 2012or the Police ;(om'laints and 8isconduct< Regulations 2012.

. 9he -act that ou have been given this notice does not necessaril im'l thatmisconduct 'roceedings ill be ta:en against ou but is given to sa-eguard

our interests. It is given in order that ou have the o''ortunit to securean documentation or other material or ma:e an notes that ma assist ouin res'onding to the allegation;s<.

8. Tou have the right to see: advice -rom our sta association and be advised&re'resented and accom'anied at an intervie & meeting or hearing b a

'olice -riendJ ho must be a member o- the 'olice service or a nominee o- our sta association and not other ise involved in the matter ;inaccordance ith regulation 4 o- the Police ;(onduct< Regulations 2012 or 17o- the Police ;(om'laints and 8isconduct< Regulations 2012<. % s'ecialconstable ma be re'resented b a 'olice o icer or 'olice sta member.

&. Aithin 10 or:ing da s o- being served ith this notice ;starting ith theda a-ter this notice is given& unless this 'eriod is eCtended b theinvestigator< ou ma 'rovide a ritten or oral statement relating to anmatter under investigation and ou or our 'olice -riend ma 'rovide anrelevant documents to the investigator ho must consider those documents.#ailure to 'rovide a res'onse to this notice ma lead to an adverse in-erencebeing dra n in an subse*uent misconduct 'roceedings or at an s'ecialcase hearing or a''eal.

%. I-& -ollo ing service o- this notice& the assessment o- conduct or thedetermination o- the li:el -orm o- an misconduct 'roceedings to be ta:en isrevised then as soon as 'racticable ou ill be given a -urther ritten noticetogether ith reasons -or that change.

". Prior to being intervie ed ou ill be 'rovided ith su icient in-ormationand time to 're'are -or the intervie . 9he in-ormation 'rovided shouldinclude -ull details o- the allegations made against ou& including therelevant date;s< and 'lace;s< o- the alleged misconduct& here :no n.

!. Tou are reminded that -ailure to 'rovide an account or res'onse to an*uestions at this stage o- the investigation ma lead to an adverse in-erence

being dra n at a later stage.$. %t the conclusion o- the investigation& i- direction is given to ithdra the

case then u'on re*uest ou shall& sub>ect to the harm test& be 'rovided itha co' o- the investigatorJs re'ort or such 'arts o- that re'ort as relate to

ou.

#'. Ahere the case is re-erred to misconduct 'roceedings ou shall be givenritten notice o- the re-erral& a co' o- an statement made b ou to the

investigator& a co' & sub>ect to the harm test& o- the investigatorJs re'ort orsuch 'arts o- that re'ort as relate to ou and an other relevant document

gathered in the course o- the investigation.

##. Tou should understand that an decision as to hether there is a case toans er that ou ma have breached the 6tandards o- Pro-essional Mehaviour




and hether the matter should be re-erred to misconduct 'roceedings illbe based on an ob>ective assessment o- all the evidence 'rovided during thecourse o- the investigation. I- the case is re-erred to misconduct 'roceedings&the decision at the meeting or hearing ill be determined on the standard o-'roo- re*uired in civil cases& hich is the balance o- 'robabilities.

# . I- the case is re-erred to a misconduct hearing or s'ecial case hearing ouhave the right to be legall re'resented b a barrister or solicitor. I- ouelect not to be so re'resented ou ma be re'resented b a 'olice -riend&ho ever i- ou elect not to be legall re'resented ou ma still be dismissedor receive an other disci'linar outcome ithout being so re'resented.

# . utcomes available in misconduct 'roceedingsH

!isconduct !eetin,

•

8isconduct not -ound• No -urther action• 8anagement advice• Aritten arning ;12 months<• #inal ritten arning ;1"

months<

!isconduct Hearin,• 8isconduct not -ound• No -urther action• 8anagement advice• Aritten arning ;12 months<• #inal ritten arning ;1" months<• )Ctension o- nal ritten arning ;eCce'tional circumstances onl <• Dismissal ith notice• Dismissal ithout notice