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The Police Service of Scotland (Performance) Regulations 2013

S.S.I. 2013/61 · Made 21 February 2013 · Extends to Scotland

Up to date with all changes known to legislation.gov.uk, revised to 1 April 2016.

Police

Made 21st February 2013

Laid before the Scottish Parliament 25th February 2013

Coming into force 1st April 2013

The Scottish Ministers make the following Regulations in exercise of the powers conferred by sections 48 and 125(1) of the Police and Fire Reform (Scotland) Act 2012f1 and all other powers enabling them to do so.

In accordance with section 54(2) of that Act, the Scottish Ministers have consulted and shared a draft of the Regulations with the persons mentioned in section 54(2)(a)(i) to (vi) and have considered any representations made.

Annotations to the whole text

Footnotes

f1

2012 asp 8.

Contents

  1. Part 1: General Repealed
  2. 1Citation and commencement Repealed
  3. 2Interpretation Repealed
  4. 3Application Repealed
  5. 4Designation of deputy chief constable Repealed
  6. Part 2: First interview Repealed
  7. 5Circumstances in which first interview may be required Repealed
  8. 6Arrangement of first interview Repealed
  9. 7Procedure at first interview Repealed
  10. 8Procedure following first interview Repealed
  11. Part 3: Second interview Repealed
  12. 9Circumstances in which second interview may be required Repealed
  13. 10Arrangement of second interview Repealed
  14. 11Procedure at second interview Repealed
  15. 12Procedure following second interview Repealed
  16. Part 4: Inefficiency hearing Repealed
  17. 13Assessment of performance following second interview Repealed
  18. 14Arrangement of inefficiency hearing Repealed
  19. 15Procedure at inefficiency hearing Repealed
  20. 16Postponement or adjournment of inefficiency hearing Repealed
  21. 17Determination Repealed
  22. 18Disposals Repealed
  23. 19Assessment of performance following inefficiency hearing Repealed
  24. Part 5: Appeal to the chief constable Repealed
  25. 20Appeal to the chief constable Repealed
  26. 21Appeal procedure Repealed
  27. 22Determination of appeal Repealed
  28. Part 6: Senior Officer Performance
  29. 23Senior officer performance Repealed
  30. Part 7: Revocation, savings and transitional provisions
  31. 24Revocation, savings and transitional provisions
  32. Signature
  33. Schedule: Revocation, savings and transitional provisions
  34. 1Interpretation
  35. 2Revocation, savings and transitional provisions
  36. 3Revocation, savings and transitional provisions
  37. 4Transitional provisions
  38. 5Transitional provisions
  39. 6Transitional provisions
  40. 7Transitional provisions
  41. 8Transitional provisions
  42. 9Transitional provisions
  43. 10Modifications
  44. Explanatory note

1Citation and commencementF1

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2InterpretationF1

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3ApplicationF1

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4Designation of deputy chief constableF1

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5Circumstances in which first interview may be requiredF1

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6Arrangement of first interviewF1

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7Procedure at first interviewF1

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8Procedure following first interviewF1

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9Circumstances in which second interview may be requiredF1

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10Arrangement of second interviewF1

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11Procedure at second interviewF1

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12Procedure following second interviewF1

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13Assessment of performance following second interviewF1

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14Arrangement of inefficiency hearingF1

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15Procedure at inefficiency hearingF1

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16Postponement or adjournment of inefficiency hearingF1

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17DeterminationF1

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18DisposalsF1

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19Assessment of performance following inefficiency hearingF1

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20Appeal to the chief constableF1

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21Appeal procedureF1

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22Determination of appealF1

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23Senior officer performanceF1

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24Revocation, savings and transitional provisionsI1

The Schedule (revocation, savings and transitional provisions) has effect.

Signature

KENNY MACASKILL

A member of the Scottish Government

St Andrew’s House,

Edinburgh

21st February 2013

1InterpretationI1

In this Schedule “inefficiency hearing”, “interviewing officer” and “senior officer” each have the meanings given by regulation 2 of the 1996 Regulations.

2Revocation, savings and transitional provisionsI1

Subject to paragraph 3, the 1996 Regulations are revoked.

3Revocation, savings and transitional provisionsI1

(1)

Despite their revocation by paragraph 2, the 1996 Regulations continue to have effect on and after 1st April 2013 as they had effect immediately before that date, with the modifications set out in paragraph 10, where—

(a)

unsatisfactory performance by an individual to whom those Regulations applied (by virtue of regulation 3 of those Regulations) came to the attention of that individual’s reporting officer before 1st April 2013;

(b)

proceedings under those Regulations in relation to that individual’s performance were not concluded before that date; and

(c)

the individual in respect of whom those proceedings were taking place is a transferred constable.

(2)

In this paragraph, “reporting officer” has the meaning given by regulation 2 of the 1996 Regulations as it applied immediately before 1st April 2013.

(3)

For the purpose of sub-paragraph (1)(b), where the individual whose performance was being examined was not required to attend an inefficiency hearing, proceedings are to be treated as having been concluded—

(a)

in a case where that individual’s performance was, following a first interview, not found to be unsatisfactory, on the date on which the individual was informed of that outcome;

(b)

in a case where that individual’s performance was found to have improved sufficiently by the end of the period specified in accordance with regulation 6(3)(d) of those Regulations, on the date on which the individual was informed of that outcome; or

(c)

in a case where that individual’s performance was found to have improved sufficiently by the end of the period specified in accordance with regulation 10(4)(d) of those Regulations, on the date on which the individual was informed in writing in accordance with regulation 12(1)(b) of those Regulations.

(4)

Sub-paragraph (5) applies where, at the conclusion of an inefficiency hearing—

(a)

the performance of the individual who was the subject of the hearing was found, in accordance with regulation 16(1) of those Regulations, to be unsatisfactory; and

(b)

a disposal other than that mentioned in regulation 17(1)(c) of those Regulations was made.

(5)

Where this sub-paragraph applies, for the purpose of sub-paragraph (1)(b) proceedings are to be treated as having been concluded—

(a)

unless regulation 19(8) of the 1996 Regulations applies, on the date on which the period specified in regulation 19(6) of those Regulations for sending a notice of appeal has expired; or

(b)

where a notice of appeal was sent within that period or has been accepted late in accordance with regulation 19(8) of those Regulations, on the date on which a decision was sent in accordance with regulation 21(7) of those Regulations.

(6)

Sub-paragraph (7) applies where at the conclusion of an inefficiency hearing—

(a)

the performance of the individual who was the subject of the hearing was found, in accordance with regulation 16(1) of the 1996 Regulations, to be unsatisfactory; and

(b)

the disposal mentioned in regulation 17(1)(c) of those Regulations was made.

(7)

Where this sub-paragraph applies, for the purpose of sub-paragraph (1)(b) proceedings are to be treated as having been concluded—

(a)

where no notice of appeal was sent in accordance with regulation 19(6) of the 1996 Regulations or, as the case may be, received late in accordance with regulation 19(8) of those Regulations, on the date on which a copy of the decision of the chairman of the inefficiency hearing was sent in accordance with regulation 18(4) of those Regulations; or

(b)

where such a notice was sent or, as the case may be, received late—

(i)

in a case where the disposal was quashed in accordance with regulation 21(4)(b)(i) of the 1996 Regulations, on the date that decision was sent in accordance with paragraph (7) of that regulation; or

(ii)

in any other case, on the date on which a copy of the decision of the chairman of the inefficiency hearing was sent in accordance with regulation 18(4) of those Regulations.

4Transitional provisionsI1

Any proceedings commenced under the 1996 Regulations in relation to which those Regulations continue to have effect by virtue of paragraph 3—

(a)

may be continued under those Regulations as modified by paragraph 10; and

(b)

where continued, are to be treated as proceedings under those Regulations as so modified.

5Transitional provisionsI1

In relation to proceedings in relation to which the 1996 Regulations continue to have effect by virtue of paragraph 3—

(a)

anything done before 1st April 2013 under those Regulations by or in relation to a chief constable of a police force is to be treated, on and after that date, as having been done by or in relation to the chief constable of the Police Service;

(b)

anything done before 1st April 2013 under those Regulations by or in relation to an assistant chief constable of a police force are to be treated, on and after that date, as having been done by or in relation to the deputy chief constable designated under regulation 4 of these Regulations;

(c)

anything done before 1st April 2013 under those Regulations by or in relation to a senior officer (within the meaning given by regulation 2 of those Regulations as it had effect immediately before that date) is, where the senior officer was the commander of the division to which the constable in respect of whom proceedings under those Regulations were taken F1was assigned, on and after that date to be treated as having been done by or in relation to the local commander in relation to the division to which that constable is assigned.

6Transitional provisionsI1

(1)

Sub-paragraph (2) applies to an individual who—

(a)

before 1st April 2013, was an interviewing officer in relation to a case in relation to which the 1996 Regulations continue to have effect by virtue of paragraph 3; and

(b)

is—

(i)

a transferred constable; or

(ii)

engaged in service as a constable of the Police Service by virtue of paragraph 8(2) of schedule 5 to the Act.

(2)

An individual to whom this sub-paragraph applies is to continue to carry out the functions of an interviewing officer in relation to the proceedings in relation to which that individual’s appointment was made.

(3)

Sub-paragraphs (4) and (5) apply where an individual appointed before 1st April 2013 to act as interviewing officer in relation to a case in relation to which the 1996 Regulations continue to have effect by virtue of paragraph 3 has not transferred to serve as a constable of the Police Service.

(4)

Where this sub-paragraph applies, the deputy chief constable must appoint a constable of at least the rank of sergeant and of at least the rank of the constable under investigation to replace the individual who has not transferred as interviewing officer.

(5)

Anything done before 1st April by or in relation to an interviewing officer who has not transferred is, on and after that date, to be treated as having been done by or in relation to the constable appointed to replace that interviewing officer.

7Transitional provisionsI1

(1)

Sub-paragraph (2) applies to an individual who—

(a)

before 1st April 2013, was appointed as the chairman of an inefficiency hearing under regulation 14(1) of the 1996 Regulations in relation to a case in relation to which those Regulations continue to have effect by virtue of paragraph 3; and

(b)

is—

(i)

a transferred constable; or

(ii)

engaged in service as a constable of the Police Service by virtue of paragraph 8(2) of schedule 5 to the Act.

(2)

An individual to whom this sub-paragraph applies is to continue to act as chairman of the inefficiency hearing in relation to which that individual’s appointment was made.

(3)

Sub-paragraphs (4) and (5) apply where an individual appointed before 1st April 2013 to act as chairman of the inefficiency hearing in relation to a case to in relation to which the 1996 Regulations continue to have effect by virtue of paragraph 3 has not transferred to serve as a constable of the Police Service.

(4)

Where this paragraph applies, the deputy chief constable must appoint to replace the individual who has not transferred as chairman of the inefficiency hearing—

(a)

in a case where the constable whose performance is being examined at the hearing is of the rank of superintendent, an assistant chief constable; and

(b)

in any other case, a constable of at least the rank of superintendent.

(5)

Anything done before 1st April by or in relation to a chairman of an inefficiency hearing who has not transferred is, on and after that date, to be treated as having been done by or in relation to the constable appointed to replace that chairman.

8Transitional provisionsI1

(1)

This paragraph applies to a requirement to resign from a police force by a specified date made under regulation 17(1)(a) or 18(3)(c) of the 1996 Regulations where—

(a)

that requirement was made before 1st April 2013;

(b)

the individual in respect of whom that requirement was made has not, in accordance with that requirement, resigned before 1st April 2013; and

(c)

that individual is a transferred constable.

(2)

Where this paragraph applies, a requirement to resign from a police force by a specified date is, on and after 1st April 2013, to be treated as a requirement to resign from the Police Service by that specified date.

(3)

Where a transferred constable has not resigned by the date specified in a requirement to which this paragraph applies, that constable is to be treated as having been dismissed from the Police Service on the specified date.

9Transitional provisionsI1

(1)

This paragraph applies where—

(a)

an individual has, before 1st April 2013, been issued by the chairman of an inefficiency hearing a written warning under regulation 17(1)(c) of the 1996 Regulations; and

(b)

the period specified by the chairman in that warning has not expired before 1st April 2013.

(2)

Where this paragraph applies, a warning that an individual may be required to resign from a police force is to be treated as if it were a warning that that individual may be required to resign from the Police Service.

10ModificationsI1

(1)

The 1996 Regulations are modified as follows.

(2)

In regulation 2—

(a)

omit the definition of “assistant chief constable”;

(b)

in the definition of “personnel officer”—

(i)

for “an” to “1967”, substitute “a member of police staff appointed under section 26 of the Police and Fire Reform (Scotland) Act 2012”;

(ii)

after “constable”, insert “of the Police Service”; and

(iii)

after “constables”, insert “of the Police Service”;

(c)

in the definition of “senior officer”—

(i)

after “constable”, in each place it occurs, insert “of the Police Service”; and

(ii)

before “commander”, in each place it occurs, insert “local”;

(d)

in the definitions of “the constable”, “countersigning officer”, “interviewing officer”, and “reporting officer”, after “constable”, in each place it occurs, insert “of the Police Service”; and

(e)

in the appropriate places, insert—

  • ““chief constable” has the meaning given by section 99(1) of the Police and Fire Reform (Scotland) Act 2012;”;

  • ““deputy chief constable” means the deputy chief constable designated under regulation 4 of the Police Service of Scotland (Performance) Regulations 2013;”;

  • ““local commander” has the meaning given by section 99(1) of the Police and Fire Reform (Scotland) Act 2012;”;

  • ““Police Service” has the meaning given by section 99(1) of the Police and Fire Reform (Scotland) Act 2012;”; and

  • ““transferred constable” means an individual who—

    1. (a)

      before 1st April 2013 was serving as a constable of a police force (excluding any such individual who was, immediately before that date, engaged on relevant service within the meaning given by section 38A(1) of the Police (Scotland) Act 1967);

    2. (b)

      is transferred to the Police Service under paragraph 6 of schedule 5 to the Police and Fire Reform (Scotland) Act 2012; and

    3. (c)

      is not a special constable of the Police Service.”.

(3)

In regulation 3—

(a)

in paragraph (a), before “constables”, insert “transferred”; and

(b)

in paragraph (b), before the first and third “constable”, insert “transferred”.

(4)

In regulation 4, before the first “constable”, insert “transferred”.

(5)

In regulation 5—

(a)

in paragraph (1), before the first “constable”, insert “transferred”; and

(b)

in sub-paragraph F1(a)(iii) of that paragraph, after “constable”, insert “of the Police Service”;

(c)

in paragraph (2), before “constable”, insert “transferred”; and

(d)

in paragraph (4), after “constable”, insert “of the Police Service”.

(6)

In regulation 8, before the first “constable”, insert “transferred”.

(7)

In regulation 9—

(a)

in paragraph (a), before the first “constable”, insert “transferred”; and

(b)

in sub-paragraph (iii) of that paragraph, after “constable”, insert “of the Police Service”.

(8)

In regulation 10(4)(d), for “force”, substitute “Police Service”.

(9)

In regulation 12(1)(b), after the first “constable”, insert “of the Police Service”.

(10)

In regulation 13—

(a)

in the opening words, after the first “constable”, insert “of the Police Service”; and

(b)

in paragraph (c)(ii), for “a police force”, substitute “the Police Service”.

(11)

In regulation 14—

(a)

in paragraph (1)—

(i)

after the first “constable”, insert “of the Police Service”; and

(ii)

for “assistant”, substitute “deputy”;

(b)

in sub-paragraph (a) of paragraph (2), for “police” to the end of that sub-paragraph, substitute “Police Service”;

(c)

in paragraph (3), after “constables”, insert “of the Police Service”; and

(d)

in paragraph (4), for “assistant”, substitute “deputy”.

(12)

In regulation 15(6)—

(a)

for “assistant”, substitute “deputy”; and

(b)

after the second “constable”, substitute “of the Police Service”.

(13)

In regulation 16(4), for “assistant”, substitute “deputy”.

(14)

In regulation 17, for “force”, in each place it occurs, substitute “Police Service”.

(15)

In regulation 18—

(a)

for “force”, in each place it occurs, substitute “Police Service”;

(b)

in paragraph (4)(b), for “assistant” substitute “deputy”; and

(c)

in paragraph (6)—

(i)

for “assistant”, substitute “deputy”; and

(ii)

after the second and sixth “constable”, insert “of the Police Service”.

(16)

In regulation 19—

(a)

in paragraph (1), before the first “constable”, insert “transferred”;

(b)

in paragraph (2), before the first “constable”, insert “transferred”.

(17)

In regulation 20(3)(a), for “a police force” substitute “the Police Service”.

Explanatory note

(This note is not part of the Order)

These Regulations make provision for the procedures for dealing with cases where the performance of a constable of the Police Service of Scotland (“the Police Service”) is unsatisfactory.

Part 1 makes general provision. Regulations 1 to 3 make provision about the commencement, interpretation and application of the Regulations. Regulation 4 requires the chief constable of the Police Service to designate a deputy chief constable (“the deputy chief constable”) to carry out functions under the Regulations.

Parts 2 to 5 deal with the performance of constables of the Police Service below the rank of assistant chief constable.

Part 2 makes provision about the first stage in dealing with such a constable whose performance is considered to be unsatisfactory. Regulations 5 and 6 require the constable to attend an interview (a “first interview”) with the constable’s immediate supervisor or, by request, with a constable senior in rank to that supervisor and make provision about the arrangement of that interview. Regulation 7 sets out the procedure to be followed at that interview and regulation 8 sets out the procedure to be followed following that interview, including how the interview and its outcome should be recorded.

Part 3 makes provision for the second stage for dealing with a constable whose performance continues to be unsatisfactory following the first stage. Regulation 9 requires such a constable to attend a second interview to discuss that constable’s performance. Regulation 10 makes provision about the arrangement of that interview, including provision for notifying the constable that the interview is to take place and why it is required. Regulation 11 establishes the procedure for a second interview, including making provision about who must conduct the interview and conferring on that individual the power to give the constable a warning if that constable’s performance is deemed unsatisfactory. Regulation 12 makes requirements about the procedure to be followed after the second interview.

Part 4 establishes a third stage in the process for dealing with constables whose performance continues to be considered to be unsatisfactory following the first and second stages. Regulation 13 makes provision for such a constable’s performance to be assessed following the second interview and for notice to be given to the constable, in the event that the constable’s performance is considered to be unsatisfactory, that the constable is required to attend an inefficiency hearing. Regulation 14 sets out how such a hearing is to be arranged.

Regulation 15 provides for the procedure at an inefficiency hearing, including requiring the deputy chief constable to appoint a constable of at least the rank of superintendent to chair that hearing and permitting the chairing constable to appoint other constables or an advocate or solicitor to assist. Regulation 16 allows for the postponement or adjournment of the inefficiency hearing either because the constable is unable to attend or because the chairing constable considers that it is appropriate to allow a further period to assess the constable’s performance. The procedure for carrying out such a further assessment and the continuation of the hearing following that assessment is also set out in regulation 16.

Regulation 17 requires the chairing constable, at the conclusion of the inefficiency hearing, to determine whether the constable’s performance has been unsatisfactory. The chairing constable is required to record that determination and the reasons for it. Where the chairing constable determines that the constable’s performance has been unsatisfactory, regulation 18 permits the chairing constable to require the constable to resign, demote the constable in rank or issue a warning about future performance and set a period for that performance to be assessed. Regulation 19 makes further provision about the assessment of the performance of a constable who has been given a warning under regulation 18, including requiring the chairing constable following such an assessment, to require the constable to resign if performance has not improved.

Part 5 makes provision about appeals. Regulation 20 permits an appeal to be made to the chief constable of the Police Service against a finding following an inefficiency hearing that the constable’s performance has been unsatisfacory, the disposal ordered following such a finding, or both. Regulation 21 makes provision about the procedure for determining an appeal. In particular, it permits the chief constable to fix an appeal hearing, sets out the procedure to be followed at such a hearing and allows the chief constable to refer the matter back to the chairing constable to hold a separate hearing on such matters as the chief constable may determine. Regulation 22 makes provision as to how an appeal should be determined, including the action the chief constable may take.

Part 6 makes provision about the performance of constables of the Police Service of the rank of assistant chief constable and above. Regulation 23 requires the Scottish Police Authority to set standards of performance for such constables and to maintain procedures for measuring the performance of such officers against those standards.

Part 7 and the Schedule revoke the Police (Efficiency) (Scotland) Regulations 1996 and make savings and transitional provisions to deal with proceedings under those Regulations in relation to constables of police forces who are transferred to the Police Service and which are not concluded on the date these Regulations come into force.