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The Secretary of State, in pursuance of Sections 25 and 26 of the Police (Northern Ireland) Act 1998[1] and after consulting, in accordance with section 64(4) of that Act, the Police Authority, the Police Association and the Police Ombudsman, hereby makes the following regulations: - Citation and commencement 1. These Regulations may be cited as the Royal Ulster Constabulary (Unsatisfactory Performance) Regulations 2000 and shall come into operation on 6th November 2000. Interpretation 2. In these Regulations -
(b) is at least one rank above that of,
the member concerned;
Application
(b) members of the rank of constable who have not yet completed their period of probation.
Circumstances in which a first interview may be required 4. Where the reporting officer for a member is of the opinion that the member's performance is unsatisfactory, he may require the member to attend an interview (in these regulations referred to as a first interview) to discuss the member's performance. Arrangement of first interview 5. - (1) If the reporting officer decides to require a member to attend a first interview, he shall -
(ii) stating the reasons why the interview is required; and (iii) informing him that he may be accompanied and represented at the interview by a member of a police force selected by him; and
(b) send a copy of the notice to the countersigning officer.
(2) A member who receives a notice pursuant to paragraph (1) may, not later than 7 days (or such longer period as the reporting officer may permit when sending the notice in terms of 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.
(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 has been unsatisfactory, he shall -
(b) warn him that he is required to improve his performance 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 a 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 9.
(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.
(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 sent.
(2) Subject to paragraph (3), 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 was sent.
(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.
Circumstances in which a second interview may be required 8. Where the reporting officer is of the opinion that a member who was warned in terms of regulation 6(3) that he was required to improve his performance has, at the end of the period specified by the interviewing officer in terms of regulation 6(3), failed to make a sufficient improvement in his performance, he may, with the agreement of the countersigning officer, require the member concerned to attend a further interview (in these regulations referred to as a second interview) to discuss the member's performance. Arrangement of second interview 9. - (1) If the reporting officer with the agreement of the countersigning officer decides to require a member to attend a second interview, he shall -
(ii) stating the reasons why the interview is required; and (iii) informing him that he may be accompanied and represented at the interview by a member of a police force selected by him; and
(b) send a copy of the notice to the countersigning officer and to the personnel officer.
(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 so participate in his place.
(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 has been unsatisfactory during the period specified by the interviewing officer in terms of regulation 6(3), he shall -
(b) warn him that he is required to improve his performance 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 a sufficient improvement is not made within such period as the countersigning officer shall specify, he may be required to attend an unsatisfactory performance hearing at which the chairman will have the power, if appropriate, to require him to resign from the force or to order 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.
(b) send a copy of that record to the member concerned together with a notice in writing -
(ii) informing him that he may submit written comments not later than 7 days after the date on which the copy is sent.
(2) Subject to paragraph (3), the member concerned shall be entitled to submit written comments in relation to the record of the interview to the countersigning officer not later than 7 days after the date on which it was sent.
(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 a sufficient improvement in performance during that period.
(2) If the reporting officer and the countersigning officer are of the opinion that there has been an 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 later than 56 days, after the date on which the notification under this paragraph is sent) to be notified separately, an unsatisfactory performance hearing (hereafter in this Part referred to as "the hearing") to consider his performance. Arrangement of hearing 13. A member or personnel officer authorised for the purpose shall, not less than 21 days before the date fixed for the hearing, send a notice in writing to the member concerned -
(b) stating the reasons why the hearing is required; (c) informing him that he may be represented -
(ii) by a member of a police force selected by him who may be a representative of a Staff Association; and
(d) warning him of the powers to make a disposal which are available to the chairman of the hearing in the event that the chairman finds that the member's performance has been unsatisfactory.
Procedure at hearing
(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 other members who are of at least the rank of superintendent who shall act as assessors.
(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 11, 12 or 13,
to be made available to the chairman.
(b) fix a date on which the hearing shall resume; and (c) require the member concerned to attend on that date at a specified time and place.
(4) Not later than 14 days after the date on which the period for further assessment specified by the chairman in terms of paragraph (3)(a) ends -
(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).
(b) where the hearing was adjourned under regulation 15(2), over the whole of the period comprising the period referred to in regulation 10(4)(d) and the further period specified by the chairman in terms of regulation 15(3)(a),
has been satisfactory or not.
(b) the assistant chief constable; and (c) the personnel officer.
Disposal
(b) order 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 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 written warning as is mentioned in sub-paragraph (b).
(2) Where the disposal under paragraph (1)(a) is made and where the member concerned has not resigned from the force in accordance with the 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.
(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 sent.
(3) The chairman -
(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 notification of the decision is made; or (d) if he is satisfied that there has been a sufficient improvement in performance, shall record that decision and direct that no further proceedings shall be taken under these regulations in relation to the period in question.
(4) The chairman shall record his decision in writing and shall forthwith send a copy of it to -
(b) the assistant chief constable; (c) the personnel officer; (d) the countersigning officer; and (e) the reporting officer.
(5) Where the chairman requires the member concerned 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). Request for a review 19. - (1) Where a sanction is imposed under regulation 17 the member concerned shall be entitled to request the Chief Constable to review the finding or the sanction imposed or both. (2) A request for a review must be made to the Chief Constable in writing within 14 days of receipt of the written summary of reasons given in accordance with regulation 16, or within such longer period as the Chief Constable may, in his discretion, allow, having regard to the circumstances of the case. (3) The request for a review shall state the grounds on which the review is requested and whether a meeting is requested. Conduct of the review 20. - (1) The Chief Constable shall hold a meeting with the member concerned if requested to do so. (2) Where a meeting is held the member concerned may be accompanied by a member of a police force selected by him or, if he was legally represented at the hearing, by a solicitor or Counsel. Finding of the review 21. - (1) The member concerned shall be informed of the finding of the Chief Constable in writing within three working days of completion of the review. (2) The Chief Constable may confirm the decision of the hearing or he may impose a different sanction but he may not impose a sanction greater than that imposed at the hearing. (3) The decision of the Chief Constable shall take effect by way of substitution for the decision of the hearing and as from the date of that hearing. (4) Where as a result of the decision of the review the member concerned is dismissed, required to resign or reduced in rank he shall be notified in writing of his right to appeal to a Police Appeals Tribunal. Hearing of review in absence of the Chief Constable 22. Where the Chief Constable is an interested party, or during any absence, incapacity or suspension from duty of the chief constable, or during any vacancy in the office of chief constable, the review shall be conducted by a senior officer who is not an interested party. Amendment of the Royal Ulster Constabulary Regulations 1996 23. - (1) Regulation 15 (contents of personal records) of the Royal Ulster Constabulary Regulations 1996[5] shall be amended in accordance with paragraphs (2) and (3). (2) In paragraph (2) -
(b) the proviso shall be omitted.
(3) After paragraph (2) there shall be inserted the following paragraph -
(b) any record of a disposal made in terms of the Royal Ulster Constabulary (Conduct) Regulations 2000[6] after 3 years free from any disposal other than a caution; and (c) in the case of any proceedings taken against the member concerned under the Royal Ulster Constabulary (Unsatisfactory Performance) Regulations 2000[7], any record of proceedings (including any disposal made under those regulations) after 2 years have elapsed since the date of the last event to take place in terms of those regulations in relation to any proceedings taken against the member concerned.".
(This note is not part of the Regulations.) These regulations make provision with respect to the assessment of the performance of members of the Royal Ulster Constabulary and the Royal Ulster Constabulary Reserve and establish procedures for cases in which a member who is not performing satisfactorily may be dealt with by way of requirement to resign, reduction in rank or warning. Parts II and III of the regulations make provision for interviewing members where it is considered that their performance is unsatisfactory and identifying areas of the performance which require improvement. Part IV makes provision for the holding of a hearing (called an unsatisfactory performance hearing) where it is considered that a member's performance has not improved. If the chairman of the hearing finds that the member's performance has been unsatisfactory he may require the member concerned to resign, order reduction in his rank or issue a warning. Part V makes provision for an appeal to the Chief Constable. Regulations 4 to 7 make provision with respect to the first stage, in dealing with a member whose performance is considered unsatisfactory. The member concerned may be required to attend a first interview with the reporting or countersigning officer. The purpose is to explain why his performance is considered unsatisfactory and to allow the member concerned to make representations. The interviewing officer may, if he considers it appropriate, warn the member concerned that his performance must improve within a specified period and require specific action to be taken. A formal record must be made. Regulations 8 to 11 make provision with respect to a second interview where the performance of the member concerned has not improved sufficiently. The interview is held by a countersigning officer and a personnel officer. Regulation 10 sets out the procedure. If, after considering any representations by the member concerned, it is considered that the member's performance has continued to be unsatisfactory, similar steps may be taken as may be taken following the first interview. Regulations 12 to 18 make provision with respect to unsatisfactory performance hearings. The member concerned shall be required to attend a hearing if the reporting officer and countersigning officer are of the opinion that there has been an insufficient improvement in his performance since the second interview. Regulation 13 provides for the arranging of a hearing and regulation 14 specifies the procedure to be followed. A chairman must be appointed who must be the rank of assistant chief constable. The member concerned (who may be represented by counsel or a solicitor or by another member) must be given the opportunity of making representations. Regulation 15 enables the chairman to adjourn the hearing. This may be done where the member concerned fails to attend. The chairman may also adjourn the hearing for up to 3 months to allow a further period for assessment by the reporting officer and the countersigning officer of his performance. In such circumstances, these officers must prepare a report which will be considered by the chairman together with any further representations by the member concerned. Regulation 16 requires the chairman to decide whether the performance of the member concerned is satisfactory or not and to notify his decision. Where he finds that the performance has been unsatisfactory, the chairman may in terms of regulation 17 make a disposal. This may take the form of a requirement to resign, reduction in rank or a warning. Regulation 18 makes provision for further assessment of the performance of the member concerned if he was given a warning in terms of regulation 17(1)(c). It specifies further procedures in terms of which a report must be made after a specified period. Following consideration of any written comments by the member concerned, the chairman must consider if there has been a sufficient improvement. If there has not, the chairman must require the member to resign. Regulation 19 makes provision for the member concerned, who has received a sanction, to request a chief constable's review and the time limits within which to do it. Regulation 20 provides for the Chief Constable to hold a meeting with the member concerned including legal representation if applicable, while regulation 21 provides for the sanction to be confirmed or varied. Regulation 22 provides for the hearing of a review in the absence of the Chief Constable. Regulation 23 makes minor and consequential amendments to the Royal Ulster Constabulary Regulations 1996 concerning the keeping of records made in disciplinary, conduct or unsatisfactory performance proceedings. Regulation 24 makes minor and consequential amendments to the Royal Ulster Constabulary Regulations 1996 concerning the keeping of records made in disciplinary, conduct or unsatisfactory performance proceedings. Notes: [1] 1998 c. 32 (N.I.)back [2] Police (N.I.) Order 1997back [5] S.R. 1996 No. 473, to which there are amendments not relevant to these regulationsback
ISBN 0-337-05392-8
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