Revised June 2018 1 - assets.publishing.service.gov.uk

1 Revised June 2018 1 Revised June 2018 2 Table of Contents INTRODUCTION .. 7 Delegated authority .. 7 Glossary .. 9 police Friend .. 10 CHAPTER 12 Guidance on Standards of Professional Behaviour .. 12 Introduction .. 12 Honesty and Integrity .. 13 Authority, Respect and Courtesy .. 13 Equality and Diversity .. 13 Use of Force .. 13 Orders and Instructions .. 13 Duties and Responsibilities .. 13 Confidentiality .. 14 Fitness for Duty .. 14 Discreditable Conduct .. 14 Challenging and Reporting Improper Conduct .. 14 Off-duty conduct .. 14 CHAPTER 16 Guidance on police Officer Misconduct Procedures .. 16 General .. 16 Cases involving more than one allegation .. 17 Student police officers .. 17 Protections for whistleblowers .. 18 Definition of a protected disclosure .. 18 False allegations made by whistleblowers.

2 19 Immunity .. 20 Hearings in public .. 20 Reprisals against whistleblowers .. 20 Suspension, restricted or change of duty .. 21 Consent to notice of intention to resign or retire under regulation 10A .. 23 Conducting investigations where there are possible or outstanding criminal 24 Misconduct action following criminal proceedings .. 25 Fast track procedures (special cases) .. 25 Link between Misconduct Procedures and complaints, conduct matters and Death or Serious Injury cases to which the police Reform Act 2002 (the 2002 Act) applies .. 26 Complaints Local Resolution .. 26 Complaints Investigation .. 26 Special requirements .. 26 Severity assessment .. 27 Investigation of Conduct matters .. 27 Investigation report following complaint (subject of special requirements)/recordable conduct matter investigations.

3 28 Referring a matter to misconduct proceedings following investigation of a complaint (subject of special requirements) or a recordable conduct matter .. 28 Revised June 2018 3 Death or Serious Injury matters (DSI) .. 29 Misconduct Procedures .. 29 Assessment of conduct (Is the case one of misconduct?) .. 29 Definitions .. 30 Unsatisfactory Performance/Attendance .. 30 Severity assessment Is the matter potentially misconduct or gross misconduct? .. 30 Dealing with misconduct .. 31 Management action .. 32 Taking further disciplinary proceedings .. 33 Written notification to officer concerned .. 33 Appointment of investigator .. 35 Investigation .. 35 Interviews during investigation .. 36 Moving between Misconduct and UPP .. 37 Investigation report and supporting documents .. 38 Action prior to misconduct meetings/hearings.

4 39 Documents for the meeting/hearing .. 41 Witnesses .. 41 Misconduct meetings/hearings .. 42 Timing for holding meetings/hearings .. 42 Purpose of misconduct meeting/hearing .. 43 Person(s) appointed to hold misconduct meetings/hearings .. 43 Misconduct and Special Case Hearings that are held in public .. 44 Consideration of whether to exclude any person from all or part of a hearing .. 45 Conditions imposed on attendance in order to facilitate the proper conduct of proceedings .. 45 Public notice of the hearing and representations to the person chairing or conducting a misconduct hearing regarding public attendance .. 46 Decisions at the hearing itself to exclude any person from all or part of the hearing .. 47 Joint meetings/hearings .. 48 Meeting/hearing in absence of officer concerned .. 49 Conduct of misconduct meeting/hearing.

5 49 Standard of proof .. 50 Outcomes of meetings/hearings .. 50 Outcomes available at misconduct meetings/hearings .. 51 Notification of the outcome .. 53 Expiry of Warnings .. 54 Special Priority Payment/Competency Related Threshold Payment .. 54 Attendance of complainant or interested person at misconduct proceedings .. 54 IOPC direction and attendance at meetings/hearings .. 55 Right of appeal .. 56 Appeal following misconduct meeting non senior officers (regulations 38 to 40 of the Conduct Regulations) .. 56 Appeal following misconduct hearing non senior 57 Appeals against misconduct meetings/hearings senior officers .. 58 CHAPTER 59 Guidance on Unsatisfactory Performance and Attendance Procedures (UPPs) .. 59 General .. 59 Introduction .. 59 Principles .. 60 Ongoing performance assessment and review.

6 60 Sources of 61 Management action .. 62 Revised June 2018 4 Performance Issues .. 64 Introduction .. 64 "Unsatisfactory performance" .. 64 Framework for action .. 64 Attendance Issues .. 64 Introduction .. 64 Framework for action .. 65 Monitoring attendance .. 65 Occupational health .. 66 Equality Act 2010 and other statutory obligations .. 66 Action under the police (Performance) Regulations .. 66 The UPP Process .. 67 Stages .. 67 Improvement notices and action plans .. 68 Improvement notice extensions and suspensions .. 69 Initiation of procedures at stage three .. 69 Multiple instances of unsatisfactory 69 The First Stage .. 70 Preparation and purpose .. 70 At the First Stage meeting .. 71 Procedure following the First Stage meeting .. 72 Assessment of Performance or Attendance .. 72 First Stage appeals.

7 73 Appeal grounds .. 73 At the first stage appeal meeting .. 74 The Second Stage .. 75 Preparation and purpose .. 75 At the second stage meeting .. 76 Procedure following the second stage meeting .. 77 Assessment of performance or attendance .. 78 Second stage appeals .. 78 Appeal grounds .. 79 At the second stage appeal meeting .. 79 The Third Stage .. 80 Preparation and purpose .. 80 Gross incompetence third stage meetings .. 82 Panel membership and procedure .. 83 Objection to panel members .. 84 Special constables and third stage meetings .. 84 Meeting dates and 85 Procedure on receipt of notice of third stage meeting .. 85 Witnesses and evidence .. 86 At the third stage meeting .. 86 Records .. 87 Postponement and adjournment of a third stage meeting .. 87 Assessment of final and extended-final improvement notices issued at the third stage.

8 88 Assessment of improvement notices issued at the third stage .. 89 Third stage appeals .. 89 Other Matters .. 89 Management action and medical and attendance 89 Attendance at each stage of the procedures and ill-health .. 90 Medical retirement under police pension legislation .. 90 Revised June 2018 5 Retirement under A19 of the police Pensions Regulations 1987 and Regulation 20 of the police Pensions Regulations 2006 and the 30+ and 30+ PLUS schemes .. 91 Competency Related Threshold Payments .. 91 The use of records under UPPs .. 92 Interaction with police Complaints system .. 92 CHAPTER 93 GUIDANCE ON ATTENDANCE MANAGEMENT .. 93 Introduction .. 93 Scope .. 93 Key principles .. 93 Policy .. 94 The Procedure .. 95 Managing Processes .. 96 Short-term absence .. 96 Long-term absence .. 96 Maintaining Contact.

9 96 Facilitating Return to Work .. 97 Payment during sickness absence .. 97 Return to work interviews .. 97 Disability .. 98 Recuperative duties .. 98 Restricted duties .. 98 Ill-health retirement .. 98 Unsatisfactory Performance Procedures .. 98 Allocating responsibilities .. 99 Role of Occupational 99 Health and Safety .. 100 Training and Communication .. 101 Monitoring Individual Progress .. 101 Reviews .. 101 Audit and Review .. 102 Annex A .. 104 FAST TRACK PROCEDURES (SPECIAL CASES) Introduction .. 104 Complaint cases and conduct matters dealt with by local, supervised, managed or independent104 investigation .. 104 Evidence .. 105 Special case process .. 105 Procedure for consideration in advance of the meeting .. 105 Outcome of special case hearing .. 106 Absence of police officer concerned at the hearing.

10 107 Annex B .. 108 MISCONDUCT MEETINGS/HEARINGS - SENIOR police OFFICERS Misconduct Meeting/Hearings .. 108 Annex C .. 110 APPEALS TO police APPEALS TRIBUNAL - police APPEALS TRIBUNAL RULES 2012 Revised June 2018 6 Introduction .. 110 Scope .. 110 Composition and timing of police Appeals Tribunals .. 111 Grounds of appeal .. 111 Notice of appeal .. 112 Procedure on notice of appeal .. 113 Extension of time limits .. 114 Review of notice of appeal .. 115 Determination of an appeal .. 115 Power to request disclosure of documents .. 115 Legal and other representation .. 116 Procedure at hearing .. 116 Attendance of other persons .. 117 Determination and Outcome of Appeal .. 117 Costs .. 118 Annex D .. 119 SECONDED police OFFICERS - UNDER SECTION 97 OF THE police ACT 1996 Unsatisfactory performance procedures.