Statutory Instrument 1999 No. 732

The Police (Efficiency) Regulations 1999

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© Crown Copyright 1999

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Interpretation
     3.  - (1) In these Regulations, unless the context otherwise requires - 

"the Assistant Commissioner", in relation to the metropolitan police force, means the assistant commissioner for the time being authorised under section 8 of the Metropolitan Police Act 1856[2];

"countersigning officer" means a member of the police force concerned having supervisory responsibility and who is senior in rank to the reporting officer;

"first interview" has the meaning assigned to it by regulation 4;

"inefficiency hearing" has the meaning assigned to it by regulation 12(2);

"interviewing officer" means the officer who conducts a first interview;

"member concerned" means the member of a police force in respect of whom proceedings under these Regulations are, or are proposed to be, taken;

"personnel officer" means a person employed under section 15 of the 1996 Act or a member of a police force who, in either case, has responsibility for personnel matters relating to members of the police force concerned;

"police force concerned" means the police force of which the member concerned is a member;

"reporting officer" means the member of the police force concerned who has the immediate supervisory responsibility for the member concerned;

"second interview" has the meaning assigned to it by regulation 8(2);

"senior manager" means - 

(a) the officer who is for the time being the supervisory officer of the person who is, in relation to the member concerned, the countersigning officer; or

(b) where the member concerned is of the rank of superintendent, his supervising officer;

"the 1996 Act" means the Police Act 1996.

    (2) In these Regulations, unless the context otherwise requires, any reference to a regulation shall be construed as a reference to a regulation contained in these Regulations.

Circumstances in which a first interview may be required
     4. Where the reporting officer for a member of a police force is of the opinion that the performance of that member is unsatisfactory, he may require the member concerned to attend an interview (in these Regulations referred to as a first interview) to discuss the performance of the member concerned.

Arrangement of first interview
     5.  - (1) If the reporting officer decides to require a member of a police force to attend a first interview, he shall - 

(a) send a notice in writing to the member concerned - 


(i) requiring him to attend, at a specified time and place, an interview with the reporting officer or, if the member concerned so requests, the countersigning officer;

(ii) stating the reasons why his performance is considered unsatisfactory;

(iii) informing him that he may seek advice from a representative of his staff association and be accompanied 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 of a police force 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 under paragraph (1)(a)) after the date on which the notice was received by him, request by notice in writing that the interview be conducted by the countersigning officer; and if the member concerned so requests the interview shall be conducted by the countersigning officer.

Procedure at first interview
     6.  - (1) The following provisions of this regulation apply to the procedure to be followed at the 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 performance of that member is unsatisfactory; and

(b) provide the member concerned, or the member of a police force who has accompanied him to the interview, or both of them, with an opportunity to make representations in response.

    (3) If, after considering any representations made in accordance with paragraph (2)(b), the interviewing officer is satisfied that the performance of the member concerned has been unsatisfactory, he shall - 

(a) inform the member concerned in what respect his performance is considered unsatisfactory;

(b) warn the member concerned of any specific action which he is required to take to achieve an improvement in his performance; and

(c) warn the member concerned that, if a sufficient improvement is not made within such reasonable 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, 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 to him necessary or expedient to do so.

Procedure following first interview
     7.  - (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 at the interview; and

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

    (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 the copy is received by him.

    (3) The interviewing officer may, on the application of the member concerned, extend the period specified in paragraph (2) if he is satisfied that it is appropriate to do so.

    (4) 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 senior manager;

(b) the personnel officer; and

(c)


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

(ii) if the interview was conducted by the countersigning officer, the reporting officer.

    (5) If the interviewing officer receives any written comments under paragraph (2), he shall ensure that they are retained with the record of the interview.

Circumstances in which a second interview may be required
     8.  - (1) Where the reporting officer is of the opinion that a member of a police force who was warned under regulation 6(3)(b) that he was required to improve his performance has, at the end of the period specified by the interviewing officer under regulation 6(3)(c), failed to make a sufficient improvement in his performance, he may refer the case to the countersigning officer.

    (2) Where a case is referred under paragraph (1)[a], the countersigning officer may, after consulting with the personnel officer, require the member concerned to attend a further interview (in these Regulations referred to as a second interview) to discuss the performance of the member concerned.

Arrangement of second interview
     9. If the countersigning officer decides to require a member of a police force to attend a second interview, he shall - 

(a) send a notice in writing to the member concerned - 


(i) requiring him to attend, at a specified time and place, an interview with the countersigning officer and the personnel officer;

(ii) stating the reasons why his performance is considered unsatisfactory and that further action will be considered in the light of the interview; and

(iii) informing him that he may seek advice from a representative of his staff association and be accompanied at the interview by a member of a police force selected by him; and



(b) send a copy of the notice to the reporting officer, the senior manager and the personnel officer.

Procedure at second interview
     10.  - (1) The following provisions of this Regulation shall apply to the procedure to be followed at a second interview.

    (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 reporting officer is of the opinion that the member concerned has failed to make a sufficient improvement in his performance or, as the case may be, that his performance is unsatisfactory and the conditions specified in regulation 8(2) are satisfied; and

(b) provide the member concerned, or the member of a police force who has accompanied him to the interview, or both of them, with an opportunity to make representations in response.

    (4) If, after considering any representations made under paragraph (3), the countersigning officer is satisfied that the performance of the member concerned has been unsatisfactory during the period specified by the interviewing officer under regulation 6(3)(c) or, as the case may be, the period specified in regulation 8(2), he shall - 

(a) inform the member concerned in what respect his performance is considered unsatisfactory;

(b) warn the member concerned that he is required to improve his performance in any such respect;

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

(d) warn the member concerned that, if a sufficient improvement is not made within such reasonable period as the countersigning officer shall specify, he may be required to attend an inefficiency hearing at which the officers conducting the hearing will have the power, if appropriate, to require the member concerned 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.

Procedure following second interview
     11.  - (1) The countersigning officer shall, not later than 7 days after the conclusion of the second interview - 

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

(b) send one copy or, where the member concerned was accompanied at the interview by a member of a police force selected by him, two copies of that record to the member concerned together with a notice in writing - 


(i) if a warning was given under regulation 10(4), confirming the terms of that warning; and

(ii) informing him that he may submit written comments, or indicate that he has no such comments, not later than 7 days after the date on which the copy is received by him.

    (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 received by him.

    (3) The countersigning officer may, on the application of the member concerned, extend the period specified in paragraph (2) if he is satisfied that it is appropriate to do so.

    (4) If the countersigning officer receives any written comments under paragraph (2), he shall ensure that they are retained with the record of the interview.

    (5) The countersigning officer shall send a copy of the record of the interview, and of any written comments by the member concerned, to the reporting officer, the personnel officer and the senior manager.

Assessment of performance following second interview
     12.  - (1) Not later than 14 days after the date on which the period specified under regulation 10(4)(d) ends - 

(a) the countersigning officer shall, in consultation with the reporting officer, assess the performance of the member concerned during that period; and

(b) the countersigning officer 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 countersigning officer is 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 may 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 received by him) to be notified separately, a hearing (in these Regulations referred to as an inefficiency hearing) to consider his performance.

    (3) The countersigning officer shall refer any case in which the member concerned has been informed in accordance with paragraph (2) to the senior manager, who shall, if he thinks it appropriate to do so, direct that an inefficiency hearing be arranged under regulation 13.

Arrangement of an inefficiency hearing
     13.  - (1) The personnel officer shall, not less than 21 days before the date fixed for the hearing, send a notice in writing to the member concerned - 

(a) requiring him to attend an inefficiency hearing at a specified time and place;

(b) stating the reasons why his performance is considered unsatisfactory;

(c) informing him that he may be represented at the hearing - 


(i) either by counsel or a solicitor; or

(ii) by a member of a police force selected by him; and



(d) warning him of the powers under regulation 17 which are available to the officers conducting the inefficiency hearing in the event that they find that the performance of the member concerned has been unsatisfactory.

    (2) If the member concerned wishes to call any witnesses other than the person representing him at the inefficiency hearing, he shall, not later than seven days before the hearing, give notice in writing to the personnel officer of the names and addresses of those witnesses.

    (3) In paragraph (2), the reference to the hearing includes a reference to any hearing under regulation 15; and in relation to such a hearing the period within which notice is to be given under that paragraph shall be such period as the chairman of the hearing may direct when he postpones or, as the case may be, adjourns the hearing.

[2] 1856 c. 2.back