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	Statutory Rules of Northern Ireland
You are here: BAILII >> Databases >> Statutory Rules of Northern Ireland >> Police Service of Northern Ireland (Unsatisfactory Performance and Attendance) Regulations 2007 No. 130 URL: http://www.bailii.org/nie/legis/num_reg/2007/20070130.html

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"personnel officer" means a person employed under article 3(5) of the Police (Northern Ireland) Order 1997[3] or a member who, in either case, has responsibility for personnel matters relating to members;

"reporting officer" means the member of a rank not lower than that of a sergeant or the person employed under section 4 of the 2000 Act[4] who in either case has the immediate supervisory responsibility for the member concerned;

"second interview" means an interview arranged in terms of article 10;

"senior officer" means an officer of the rank of chief constable, deputy chief constable or assistant chief constable;

"staff association" means a police officer representative body;

"unsatisfactory performance" means failure to carry out the role of a police officer to the agreed standard;

"unsatisfactory performance/attendance hearing" means a hearing arranged in terms of regulation 14.

Application
     4. These regulations shall not apply to—

(a) senior officers; or

(b) members of the rank of constable who have not yet completed their period of probation.

    (2) A member who receives a notice pursuant to paragraph (1) may, not later than 7 days (or such a longer period as the reporting officer may permit when sending the notice in terms of sub-paragraph (1)(a) after the date on which the notice was sent to him, request by notice in writing to the reporting officer that the interview be conducted by the countersigning officer.

    (3) If the reporting officer receives a notification in terms of paragraph (2), he shall, subject to paragraph (4), arrange for the interview to be conducted by the countersigning officer.

    (4) In any other case where it is not reasonably practical for the countersigning officer to conduct the first interview, another member of the same or higher rank may conduct the interview in his place.

Procedure at first interview
     7. —(1) The following provisions of this regulation shall apply to the procedure to be followed at first interview.

    (2) The interviewing officer shall—

(a) explain to the member concerned the reasons why the reporting officer is of the opinion that the member's performance and/or attendance is unsatisfactory; and

(b) provide him with a full opportunity of making representations in response.

    (3) If, after considering any representations made by the member concerned, the interviewing officer is satisfied that the member's performance and/or attendance has been unsatisfactory, he shall—

(a) inform the member in what respect his performance and/or attendance is considered unsatisfactory;

(b) warn him that he is required to improve his performance and/or attendance in any such respect;

(c) inform him of any specific action which he is required to take to achieve such improvement; and

(d) warn him that if sufficient improvement is not made within such period as the interviewing officer shall specify, he may be required to attend a second interview in accordance with regulation 10.

    (4) The interviewing officer may only, if he considers it appropriate, recommend that the member concerned seek assistance in relation to any matter affecting his health or welfare.

    (5) The interviewing officer may adjourn the interview to a specified later time or date if it appears necessary or expedient to do so.

Procedure following first interview
     8. —(1) The interviewing officer shall, not later than 7 days after the date of the conclusion of the first interview—

(a) cause to be prepared a written record of the substance of the matters discussed during the interview; and

(b) send a copy of that record to the member concerned together with a notice in writing informing him that he may submit written comments not later than 7 days after the date on which the copy is received.

    (2) In a case where a member has been required to attend a first interview to discuss his attendance and he has failed to attend the interview, the interviewing officer shall, if he is satisfied that the attendance of the member concerned is unsatisfactory, not later than 7 days after the date on which the first interview was due to take place—

(a) cause to be prepared a written notice informing and warning the member concerned of matters mentioned in sub-paragraphs (a) to (c) of regulation 7(3); and

(b) send one copy or, where a member of a police force selected by the member concerned attended the interview, two copies of the notice to the member concerned together with a notice in writing informing him that he may submit written comments, or indicate that he has no comments to make, not later than 7 days after the date on which the copy is received.

    (3) Subject to paragraph (4), the member concerned shall be entitled to submit written comments in relation to the record of the interview to the interviewing officer not later than 7 days after the date on which it is received.

    (4) The interviewing officer may, on application of the member concerned, extend the period specified in paragraph (3) if he is satisfied it is appropriate to do so.

    (5) The interviewing officer shall send a copy of the record of the interview, and of any written comments of the member concerned, to—

(a) the personnel officer; and

(b) if the interview was conducted by the reporting officer, the countersigning officer; or

(c) if the interview was conducted by the countersigning officer; the reporting officer; or

(d) if the interview was conducted by any other officer, to the reporting officer and the countersigning officer.

    (6) If the interviewing officer receives any written comments under paragraph (3), he shall ensure that they are retained with the record of the interview.

    (7) Where a member has been required to attend a first interview in relation to his performance, attendance or both categories of behaviour, any second interview shall relate only to the category or categories of behaviour that was or were subject of the first interview.

    (2) In any case where it is not reasonably practicable for the countersigning officer to participate in the second interview, another member of the same or higher rank may participate in his place.

Procedure at second interview
     11. —(1) The following provisions of this regulation shall apply to the procedure to be followed at the second interview.

    (2) Subject to regulation 10(2), the interview shall be conducted by the countersigning officer and the personnel officer.

    (3) The countersigning officer shall—

(a) explain to the member concerned the reasons why the countersigning officer and the reporting officer are of the opinion that the member has failed to make sufficient improvement in his performance and/or attendance; and

(b) provide him with a full opportunity of making representations in response.

    (4) If, after considering any representations made by the member concerned, the countersigning officer is satisfied that the member's performance and/or attendance has been unsatisfactory during the specified by the interviewing officer in terms of regulation 7(3), he shall—

(a) inform the member concerned in what respect his performance and/or attendance as a member is considered unsatisfactory;

(b) warn him that he is required to improve his performance and/or attendance in any such respect;

(c) inform him of any specific action which he is required to take to achieve such an improvement; and

(d) warn him that if sufficient improvement is not made within such a period as the countersigning officer shall specify, he may be required to attend an unsatisfactory performance/attendance hearing at which the chairman will have the power, if appropriate, to require him to resign from the force or to order a reduction in rank.

    (5) The countersigning officer may adjourn the interview to a specified later time or date if it appears to him necessary or expedient to do so.

Procedure following second interview
     12. —(1) The interviewing officer shall, not later than 7 days after the date of the conclusion of the first interview—

(a) in consultation with the personal officer, prepare a written record of the substance of the matters discussed during the interview; and

(b) send a copy of that record to the member concerned together with a notice in writing—


(i) if a warning has been given in terms of regulation 11(4), confirming the terms of that warning; and

(ii) informing him that he may submit written comments not later than 7 days after the date on which the copy is received.

    (2) In a case where a member has been required to attend a second interview to discuss his attendance and he has failed to attend the interview, the countersigning officer shall, if he is satisfied that the attendance of the member has been unsatisfactory during the period specified by the interviewing officer under regulation 7(3)(d), not later than 7 days after the date on which the second interview was due to take place—

(i) cause to be prepared a written notice informing and warning the member concerned of the matters mentioned in sub-paragraphs (a) to (d) of regulation 11(4); and

(ii) send one copy or, where a member of a police force selected by the member concerned attended the interview, two copies of the notice to the member concerned together with a notice in writing informing him that he may submit written comments, or indicate that he has no comments to make, not later than 7 days after the date on which the copy is received.

    (3) Subject to paragraph (4), the member concerned shall be entitled to submit written comments in relation to the second interview to the countersigning officer not later than 7 days after the date on which it was received.

    (4) The countersigning officer may, on application of the member concerned, extend the period specified in paragraph (3) if he is satisfied that it is the appropriate thing to do so.

    (5) If the countersigning officer receives any written comments in terms of paragraph (3), he shall ensure that they are retained with the record of the interview.

    (6) The countersigning officer shall send a copy of the record of the interview, and any written comments of the member concerned, to the personnel officer and, if the interview was conducted by the countersigning officer or any other officer, the reporting officer.

    (7) Where the member has been required to attend a second interview in relation to his performance, attendance or both of these categories of behaviour, any unsatisfactory performance/attendance hearing shall relate only to the category or categories of behaviour that was or were the subject of the second interview.

Assessment of performance following second interview
     13. —(1) Not later than 14 days after the date on which the period specified in regulation 11(4)(d) ends—

(a) the reporting officer and the countersigning officer shall assess the performance and/or attendance of the member concerned during that period; and

(b) either a member or a personnel officer authorised for the purpose shall inform the member concerned in writing whether the reporting officer and the countersigning officer are of the opinion that there has been sufficient improvement in performance and/or attendance during that period.

    (2) If the reporting officer and the countersigning officer are of the opinion that there has been insufficient improvement, the member concerned shall also, within the period of 14 days mentioned in paragraph (1), be informed in writing that he will be required to attend, at a time (being not sooner than 21 days, but not longer than 56 days, after the date on which the notification under this paragraph is set) to be notified separately, an unsatisfactory performance/attendance hearing (hereafter in this Part referred to as "the hearing") to consider his performance and/or attendance.

Procedure at hearing
     15. —(1) The hearing shall be conducted by a member who is appointed for the purpose by the deputy chief constable and who is referred to in these regulations as the chairman of the hearing.

    (2) The chairman shall be—

(a) a member or, if, at the request of the deputy chief constable, the chief officer of a force in Great Britain (as defined in the Police Act 1996[5] or the Police (Scotland) Act 1967[6], as the case may be) agrees to provide a chairman, a member of that force;

(b) of the rank of assistant chief constable; and

(c) a person who has neither attended nor otherwise been involved with the first interview or the second interview held in relation to the member concerned.

    (3) The chairman may be assisted by up to two members who are of at least the rank of superintendent who shall act as assessors.

    (4) As soon as the deputy chief constable has appointed the chairman, he shall arrange for a copy of any document—

(a) which was available to the interviewing officer in relation to the first interview;

(b) which was available to the countersigning officer in relation to the second interview; and

(c) which was prepared or submitted in terms of regulation 12,13 and 14, to be made available to the chairman and assessors of the hearing.

    (5) Subject to the provisions of this regulation, the procedure at the hearing shall be such as the chairman may determine.

    (6) The hearing shall be held in private.

    (7) The chairman shall afford the member concerned a full opportunity of making representations in relation to the matters referred to in the notice sent in terms of regulation 14.

    (8) A verbatim record of the proceeding at the hearing must be taken.

    (9) The chairman must prepare a written note summarising the proceedings at the hearing.

    (10) Subject to regulation 16(1), if the member concerned does not attend the hearing or at any adjournment thereof, the hearing may proceed with and concluded in his absence if it appears to the chairman just and proper to do so.

    (11) Where, owing to the absence of the member concerned, it is not possible to comply with the whole or any part of the procedure described in this regulation or regulation 16, the case may be proceeded with as if that procedure has been complied with.

Postponement or adjournment of hearing
     16. —(1) If, in the case of an unsatisfactory performance/attendance hearing, the member concerned intimates to the chairman that he will be unable to attend the hearing, or if in the absence of such intimation does not attend the hearing, and the chairman is satisfied that a good reason for non-attendance is given by, or on behalf of, the member concerned, he shall postpone, or as the case may be adjourn, the hearing.

    (2) The chairman may also adjourn the hearing if, having given the member concerned the opportunity of making representations in terms of regulation 15(7), he considers it appropriate to allow a further period for assessment of the members performance or attendance.

    (3) Where the chairman makes an adjournment for the purpose of paragraph (2), he shall—

(a) specify a period (not exceeding 3 months) during which the reporting officer and the countersigning officer shall assess the performance or attendance of the member concerned;

(b) fix a date on which the hearing shall resume; and

(c) require the member concerned to attend on a date at a specified time and place.

    (4) Not later than 14 days after the date on which the period for a further assessment specified by the chairman in terms of paragraph (3)(a) ends—

(a) The reporting officer and the countersigning officer shall prepare a report containing their assessment of the performance or attendance of the member concerned during that period; and

(b) the countersigning officer shall send the report to the chairman and a copy of the report to the member concerned.

    (5) At the continuation of the hearing the chairman shall afford the member concerned a full opportunity of making representations in relation to the matters referred to in the report mentioned in paragraph (4).

    (6) Where, at the time the report mentioned in paragraph (4) is sent in terms of paragraph (4)(b), the chairman is absent, incapacitated or suspended from duty and is likely that his absence, incapacity or suspension will continue for a period of more than 28 days, the deputy chief constable shall arrange for another member, being a member who would have been eligible for appointment as chairman in terms of regulation 15(1) and (2) in relation to the hearing in question, to carry out in relation to the member concerned the functions of the chairman specified in paragraph (5) and regulations 17 and 18 and, accordingly, in relation to the member concerned, references to the chairman in regulations 19 to 22 shall be construed as including any member appointed in accordance with this paragraph to carry out functions of the chairman.

Finding
     17. —(1) Subject to paragraph (2), at the conclusion of the hearing, the chairman shall reach a decision whether the performance or attendance of the member concerned—

(a) in the period referred to in regulation 11(4)(d); or

(b) where the hearing was adjourned under regulation 16(2), over the whole of the period comprising the period referred to in regulation 11(4)(d) and the further period specified by the chairman in terms of regulation 16(3)(a), has been satisfactory or not.

    (2) The chairman may at the conclusion of the hearing, defer reaching his decision until a later time or date if it appears necessary to do so.

    (3) The decision of the chairman shall state the finding and, where he has found that the performance or attendance of the member concerned has not been satisfactory, his reasons as well as any disposal which he makes in accordance with regulation 18.

    (4) After recording his decision in writing, the chairman shall forthwith send a copy of it to—

(a) the member concerned;

(b) the deputy chief constable; and

(c) the personnel officer.

Disposal
     18. —(1) If the chairman makes a finding that the performance of the member concerned during the relevant period has been unsatisfactory, he may—

(a) require the member concerned to resign from the force forthwith or on such later date as may be specified;

(b) order a reduction in his rank with immediate effect and issue a written warning to him that unless a sufficient improvement in his performance is made within such a period as the chairman shall specify, he may, following consideration of his performance during that period in accordance with regulation 18, be required to resign from the force; or

(c) issue such a warning as is mentioned in sub-paragraph (b).

    (2) Where the disposal under paragraph 1(a) or 3(a) is made and where the member concerned has not resigned from the force in accordance with that requirement, then the effect of the decision shall be to dismiss the member concerned from the force either forthwith or on the date which was specified by the chairman.

    (3) If a chairman makes a finding that the attendance of the member concerned during the relevant period has been unsatisfactory, he may—

(a) impose a sanction mentioned in paragraph (1)(a);

(b) in a case where it is established that insufficient support has been given to the member concerned during the relevant period in order to assist him return to work, specify such measures as must be taken in order to give him sufficient support in order to assist him to return to work;

(c) issue a written warning to the member concerned unless sufficient improvement in his attendance is made within such a period as is specified, he may, following consideration of his attendance during that period in accordance with regulation 20, be required to attend a second unsatisfactory performance/attendance hearing at which he may be required to resign from the force;

(d) in a case where it is established that the member's duties within the force contribute directly to his unsatisfactory attendance record, order the member to be redeployed to alternative duties (which may involve a reduction in rank) within the force with immediate effect.

    (4) Where the steps under paragraph (3)(b) or (d) are taken, the member concerned shall be issued with a written warning that unless a sufficient improvement in his attendance is made within such a period as is specified, he may, following consideration of his attendance during that period in accordance with regulation 20, be required to attend a first interview, a second interview or an unsatisfactory performance/attendance hearing, as specified by the chairman.

Assessment of performance following hearing
     19. —(1) This regulation applies where the member concerned has been given a written warning in terms of paragraph (1)(b) or (c) of regulation 18.

    (2) Not later than 14 days after the end of the period specified in the warning, the reporting officer and the countersigning officer shall—

(a) assess the performance of the member concerned during that period;

(b) cause to be prepared a report on the performance which shall be submitted to the chairman; and

(c) send a copy of the report to the member concerned and inform him that he may submit written comments to the chairman not later than 7 days after the date on which it was received.

    (3) The chairman—

(a) shall consider the report and any recommendation contained in it;

(b) shall consider any written comments made by or on behalf of the member concerned by virtue of paragraph (2)(c); and

(c) if he is satisfied that there has been an insufficient improvement in the performance of the member concerned, shall require the member to resign from the force with effect from the end of the period of one month after the date on which the notification of the decision is made; or

(d) if he is satisfied that there has been sufficient improvement in performance, shall record that decision and direct that no further proceedings shall be taken under these regulations in relation to that period in question.

    (4) The chairman shall record his decision in writing and shall forthwith send a copy of it to—

(a) the member concerned;

(b) the deputy chief constable;

(c) the personnel officer;

(d) the countersigning officer; and

(e) the reporting officer.

    (5) Where the chairman requires the member to resign pursuant to paragraph (3)(c) and the member has not resigned from the force in accordance with the requirement, then the effect of the decision shall be to dismiss the member from the force with effect from the end of the period of one month after the date on which notification of the decision was made in terms of paragraph (4).

    (6) Where, at the time of the report mentioned in paragraph (2)(b) is submitted, the chairman is absent, incapacitated or suspended from duty and it is likely that his absence, incapacity or suspension will continue for a period of more than 28 days, the deputy chief constable shall arrange for another member, being a member who would have been eligible for appointment as chairman in terms of regulation 15(1) and (2) in relation to the hearing in question, to carry out in relation to the member concerned the functions of the chairman specified in this regulation and, accordingly, in relation to the member concerned, references to the chairman in regulations 19 to 21 shall, in relation to an appeal made under regulation 21(2), be construed as including any member appointed in accordance with this paragraph to carry out functions of the chairman.

Assessment of attendance following hearing
     20. —(1) This regulation applies where the member concerned has been given a written warning under regulation 18(3)(c) or (4).

    (2) Not later than 14 days after the end of the period specified in the warning, the reporting officer shall—

(a) assess the attendance of the member concerned during that period;

(b) cause to be prepared a report on the attendance; and

(c) send a copy of the report to the member concerned.

    (3) Where the report prepared under paragraph (2)(b) concludes that the attendance of the member concerned has been satisfactory during the period specified in the warning, no further action shall be taken in respect of that attendance during that period.

    (4) Where the report prepared under paragraph (2)(b) concludes that, in the opinion of the countersigning officer, the attendance of the member concerned has been unsatisfactory or has made insufficient improvement during the period, then the countersigning officer—

(a) in a case where the member concerned has been given a written warning under regulation 18(3)(c), may require the member concerned to attend an unsatisfactory performance/attendance hearing in accordance with regulation 13; and these regulations shall have effect for the purposes of attendance of the member concerned during that period as if he has been required to attend an unsatisfactory performance/attendance hearing under regulation 13;

(b) in a case where the member concerned has been given a written warning under regulation 18(4), may require the member concerned to attend a first interview, second interview or an unsatisfactory performance/attendance hearing as specified by the chairman under regulation 18(4); and these regulations shall have effect for the purposes of attendance of the member concerned during that period as if he has been required to attend an unsatisfactory performance/attendance hearing under regulation 5, 9 or 13 as the case may be.

[2] S.R. 2000 No.316back

[3] Police (NI) Order 1997back

[4] 2000 c.32 (NI)back

[5] 1996 c.16back

[6] 1967 c.77back

 © Crown copyright 2007