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Home - 003/2014 Stage 2 – Additional Priority Governance Matters – 13 May 2014

003/2014 Stage 2 – Additional Priority Governance Matters – 13 May 2014

This paper presents the following documentation, revised and refreshed following the Stage 2 process, for formal approval:

  • Revised Memorandum of Understanding between the Commissioner and the Chief Constable
  • Revised Monitoring Officer Protocol

It also seeks approval for a recommended course of action in respect of certain key policy provisions, designed to cater for the existence of two legal entities operating on a ‘one organisation’ basis. These are

  • Proposed amendments to specific policies and procedures
  • A collective agreement with UNISON, covering the approach to certain specific employment matters

Legal advice has been provided on all of these matters and is attached as a Part Two to this Decision Notice.

Police and Crime COmmissioners Decision:  Approved

Signature:  signature

Date:  13 May 2014

Title:  Police and Crime Commissioner

Part 1 – Unrestricted facts and advice to the PCC

1.  Introduction and background

1.1 The following documentation is presented in full text format for adoption:

  • Memorandum of Understanding (formally entitled ‘Second Memorandum of Understanding’ and presented for the approval of both the Commissioner and the Chief Constable)
  • Monitoring Officer Protocol

1.2 Also presented for approval, are proposed amendments to certain key policy provisions, designed to ensure that each constituent body corporate operates under the ‘one organisation’ model, in a way which is lawful. The policies concerned are

  • Staff Performance and Attendance Management Guidance
  • Staff Performance Procedure
  • Staff Discipline Procedure
  • Staff Discipline Guidance
  • Suspension Guidance
  • Extension to Sick Pay Entitlements Procedure
  • Redeployment Procedure
  • Recruitment Selection and Appeals
  • Grievance Procedure
  • Grading and Re-Grading Procedure
  • Health and Safety Policy
  • Early and Flexible Retirement Procedure

1.3 In order to underpin the overall ‘one organisation’ approach, the Stage 2 Working Group commissioned – and agreed, provisionally, with UNISON – a Collective Agreement. This document is also presented for approval.

2.  Matters for consideration

2.1 Memorandum of Understanding (APPENDIX A)

2.1.1 The document is presented in full text form for approval. Legal advice on certain specific issues has been provided in the course of the preparation for this Decision Notice and is set out at Part Two.

2.1.2 The Memorandum of Understanding has been revised and refreshed, in order to minimise and reorganise the legal rubric.

2.1.3 It records certain key working agreements between the Commissioner and the Chief Constable, underpinning the collegiate approach to decision making and scrutiny.

2.1.4 In particular it makes provision for

  • Support services operating on a joint corporate basis
  • A refreshed definition of ‘Significant Public Interest’ recognising the importance of innovation, investment and income.
  • A high-level information sharing arrangement
  • A commitment to adopt protocols on the operation of statutory officer functions (the CFO and MO Protocols, in other words).
  • Commitments to ambitious transparency aims, to the Nolan principles and to equality and diversity, alongside a constructive approach to resolving disputes in the unlikely event of them arising.

2.1.5 This paper recommends the MOU for the formal approval of both the Commissioner and the Chief Constable (within the convenient and purpose-designed forum of Executive Board).

2.2 Monitoring Officer Protocol (APPENDIX B)

2.2.1 A Monitoring Officer Protocol has been in place since 2006, following District Audit recommendations to that effect.

2.2.2 It is intended to set out how the function of statutory Monitoring Officer will operate in the corporate governance setup we have adopted – as well as the interrelationship between the MO and the Force Solicitor on identifying and addressing matters of legal risk

2.2.3 The Protocol adopted by the Commissioner upon taking office in November 2012 has been revised and refreshed. The following are the key changes:

  • References to Police Authority conventions and pre-Stage 2 issues, are edited out
  • Provision for a Deputy MO to cater for absence or other ‘exceptional circumstances’ reason meaning that the MO is unable to act in particular cases (this formally consolidates into the document, the decision separately reached by EB on 25 March 2014 to the same effect)

2.2.4 The Monitoring Officer recommends the Protocol for approval.

2.3 Policy

2.3.1 Decision Notice 099/2014 sets out the Commissioner’s strategic determination about the application of policy to the organisation as a whole and to the OPCC. Following on from the Stage 2 Transfer, it is necessary to be clear as to how the organisation’s policies and procedures will apply to the respective corporations sole.

2.3.2 That Decision Notice also records the determination that certain priority policy adaptations (including those providing for appropriate decision makers in HR policies) would be adopted as soon as practicable.

2.3.3 The following summary table, sets out the policy adjustments proposed jointly by your professional legal and human resources advisors.

Policy / Procedure Section Original Text Revised Text
Staff Performance and Attendance Management Guidance 3.8 – Third Stage Meeting 1st panel member (chair):                          ACPO member or equivalent 2nd panel member:Member of staff higher equivalent grade than the individual.3rd panel member:    Member of staff or police officer of a higher grade, or equivalent rank, than the individual. 1st panel member (chair):Head of Function drawn from the employing body corporate 2nd panel member:                                                   Member of Commissioner or Chief Constable staff of a higher grade than the
individual.                                                     3rd panel member:    Member of Commissioner or Chief Constable staff of a higher grade, or a Police Officer of higher equivalent rank, than the individual. HR will maintain and review a list of Heads of Function to draw from.
6.2 – Appeals Third Stage Appeal     – Deputy Chief Constable or, for dismissal, the Chief Constable Third Stage Appeal – For Chief Constable’s staff; Deputy Chief Constable or , for dismissal the Chief Constable.For Commissioner staff; Chief Executive Officer.
Staff Performance Procedure 7.0 – Appeals At the Third Stage, the appeal will be decided by the Deputy Chief Constable, or in the case of dismissal, by the Chief Constable (Deputy Chief Constable in the Chief Constable’s absence) Third Stage Appeal – For Chief Constable’s Staff: Deputy Chief Constable or, for dismissal, the Chief Constable For Commissioner Staff: Chief Executive Officer
Staff Discipline Procedure 2.1 – Formal Procedure In order to ensure that all police staff are treated in a fair and consistent manner, all misconduct cases will be forwarded to the Director of HR who will decide whether it is appropriate to instigate the formal discipline procedure and will assess the level of the alleged misconduct, i.e. is it gross misconduct or misconduct. A HR Liaison Officer and Investigating Officer will then be appointed. In order to ensure that all Police Staff are treated in a fair and consistent manner, all misconduct cases will be forwarded to the Corporate HR Manager. S/he will decide whether it is appropriate to instigate the formal discipline procedure, in conjunction and liaison with the appropriate Head of Function from the relevant employer. Together they will assess the level of the alleged misconduct, i.e. is it gross misconduct or misconduct. A HR Liaison Officer and Investigating Officer will then be appointed.
3.1 – Misconduct Hearing A Senior Line Manager drawn from the employing body corporate and HR Advisor will hold a Misconduct Hearing with the individual and their representative. A Senior Line Manager drawn from the employing body corporate and HR Advisor will hold a Misconduct Hearing with the individual and their representative. HR to review and maintain a list of senior line managers to be drawn from
3.3 – Misconduct Hearing The written appeal must be lodged within 14 calendar days of formal written receipt of the notification of outcome from the discipline hearing. , it should be marked as “CONFIDENTIAL” for the attention of the Chief Officer c/o the Corporate HR Manager. The Corporate HR Manager will make arrangements for the written appeal to be progressed Notice of appeals should be marked as ‘“CONFIDENTIAL”– appeal documentation’ for attention of the Corporate HR Manager.  The Corporate HR Manager will then make arrangements for the written appeal to be drawn to the attention of the person responsible for considering the appeal and progressed accordingly.
3.4 – Misconduct Hearing The appeal will be heard bythe Chief Officer with the staff member concerned and their representative (if applicable) The appeal will be heard by a Head of Function drawn from the employing body corporate. The police staff member concerned and their representative (if applicable) would ordinarily be in attendance. A HR Advisor will provide advice. The latter part of the paragraph has been rephrased for clarity.
4.6 Gross Misconduct Hearing Made consistent and amended in line with section 3.3 wording above.
4.7 The appeal will be heard by the Chief Constable (or Deputy Chief Constable) with the individual and their representative (if applicable) present. An HR advisor will provide advice as required. The appeal will be heard by: o      for Chief Constable’s staff – Deputy Chief Constable or, for dismissal appeals, the Chief Constable. The staff member concerned and their representative (if applicable) would ordinarily be in attendance. An HR Advisor will provide advice.o       for Commissioner’s Staff: an appropriate Head of Function or for dismissal appeals, the Chief Executive Officer. The staff member concerned and their representative (if applicable) would ordinarily be in attendance. An HR Advisor will provide advice
Definition of Terms added Senior Line Manager in place of original footnote.
Staff Discipline Guidance 3.1 Suspension / Alternative Duties In certain circumstances the individual may be suspended by the Deputy Chief Constable on full pay, pending the outcome of the discipline procedure. In certain circumstances the individual may be suspended by the Deputy Chief Constable or Chief Executive Officer, dependent on the relevant employer, acting on the advice as provided by the Corporate HR function. This will be on full pay, pending the outcome of the discipline procedure.
3.6 A review of the suspension should be undertaken on a monthly basis and authorised by the Deputy Chief Constable, this may be delegated to the Director of HR A review of the suspension should be undertaken on a monthly basis and authorised by the most senior member of police staff responsible for HR.
7.2 The appeal will be heard by:by the Chief Officer with the staff member concerned and their representative (if applicable). A HR Advisor will provide advice. The appeal will be heard by:for Chief Constable’s staff – Deputy Chief Constable or, for dismissal, the Chief Constable. The staff member concerned and their representative (if applicable) would ordinarily be in attendance. A HR Advisor will provide advice. for Commissioner’s Staff: an appropriate Head of Function or for dismissal appeals, the Chief Executive Officer. The staff member concerned and their representative (if applicable) would ordinarily be in attendance. A HR Advisor will provide advice.
Suspension Guidance Suspension / Alternative duties In certain circumstances the Police Staff member may be suspended by the Deputy Chief Constable on full pay, pending the outcome of the discipline procedure. In certain circumstances the individual may be suspended by the Deputy Chief Constable or Chief Executive Officer, dependent on the relevant employer, acting on the advice as provided by the Corporate HR function. This will be on full pay, pending the outcome of the discipline procedure.
Definition of terms update – added North Yorkshire Police (in the Collective Agreement).
Extension to Sick Pay Entitlements Procedure Responsibilities and authority levels The Chief Constableholds the authority to exercise discretion to depart from the provisions for reduction to half pay/no pay for police staff and police officers The Chief Constableholds the authority to exercise discretion to depart from the provisions for reduction to half pay/no pay for the Chief Constable’s staff. The Chief Executive Officer holds the authority to exercise discretion to depart from the provision for reduction to half pay/no pay for Commissioner’s Staff.
Redeployment Procedure 2.4 The appointment of a Police Staff member to a post through redeployment will not be undertaken without the approval of the Chief Constable In all but exceptional cases such approval shall be sought through ratification of a decision taken through the normal selection process. The appointment of a Police Staff member to a post through redeployment will not be undertaken without the approval of the Chief Constable (for Chief Constable’s staff) and the Chief Executive Officer (for Commissioner’s staff.) In all but exceptional cases such approval shall be sought through ratification of a decision taken through the normal selection process.
3.1.3 Amended to reflect updated legislation from Disability Discrimination Act 1995 toEquality Act 2010 
Recruitment Selection and Appeals Definition of terms update added Head of HR
Grievance Procedure Naming convention amendments only
Grading and Re-Grading Procedure Naming convention amendments only
Health and Safety Policy Revised & consolidated policy statement to reflect a joint commitment by both PCC and CC, p1-2Consolidated H&S objectives, p2Revised and amended Responsibilities sections to reflect introduction and change to levels of management/responsibility. Significantly key descriptions of CC and PCC H&S responsibility, p3-4.
Early and Flexible Retirement Procedure References to relevant Chief Finance Officer replaced with Chief Constable / Chief Executive Officer

2.3.4 A Collective Agreement (APPENDIX C) is a document which records an agreement on certain staff employment issues without the need for individual negotiation. Such an agreement has been provisionally negotiated with UNISON to underpin the ‘one organisation’ and ‘business as usual’ approach to be taken to such issues.

2.3.5 In particular, it addresses the following issues

  • Definition of terms – how groups of police staff are to be referred to, for consistency
  • Provision for secondments between the respective employers
  • Provision for ‘business as usual’ on notice periods when moving between the two employers, unless otherwise individually agreed
  • Provision for a fair approach to redeployment and ‘suitable alternative employment’ in redundancy situations, as well as for career break returners, permitting a search for opportunities to take place across both corporate bodies
  • Agreement that the same standards of professional behaviour are applicable across the whole ‘family’ of police staff whether legally engaged by the Commissioner or the Chief Constable.
  • Provision for maternity and adoption leave entitlements – and overall continuity of service – to be preserved when moving between the respective employers.

2.4 Future Policy Refinement and Approval

2.4.1 The Executive Board have already directed that Income-related policies will be presented to a future Board, for specific review and approval.

2.4.2 The Stage 2 Working Group will continue to manage the process of policy refinement and adjustment, on a ‘task and finish’ basis and further updates – and where necessary or desirable, summary ‘exception’ papers – will be provided to Executive Board for ratification.

2.4.3 A further Decision Notice, addressing policy and procedure adjustments in respect of complaints and conduct matters, will follow as soon as practicable. A bespoke approach is required, in circumstances where the Stage 2 corporate structure has the effect of placing significant numbers of police staff outside of the formal Police Reform Act 2002 conduct and complaints regime. Recommendations will be made in that paper and Executive Board guidance is sought at this stage, as to any specific priority issues EB wish to see addressed.

3.  Other options considered, if any

3.1.   Not applicable

4.  Contribution to Police and Crime Plan outcomes

4.1.   Not directly applicable

5.  Consultations carried out

5.1 The Regulatory Instruments have been finalised by the Chief Finance Officers and the Force Solicitor in accordance with the consultation with Executive Board on 25 March 2014.

6.  Financial Implications/Value for money

6.1 There are no direct financial implications of this Decision Notice.

7.  Legal Implications

7.1 Having read this report and having considered such information as has been provided at the time of being asked to express this view, the Acting Deputy Force Solicitor Designate (in view of the fact that the Force Solicitor is the author of this paper) is satisfied that this report does not ask the Commissioner to make a decision which would (or would be likely to) give rise to a contravention of the law

8.  Equality Implications

Save to recognise the positive commitments outlined in the MOU, none arise in connection with this Decision Notice itself.

Public Access to information

The Police and Crime Commissioner wishes to be as open and transparent as possible about the decisions he/she takes or are taken in his/her name. All decisions taken by the Commissioner will be subject to the Freedom of Information Act 2000 (FOIA).

As a general principle, the Commissioner expects to be able to publish all decisions taken and all matters taken into account and all advice received when reaching the decision. Part 1 of this Notice will detail all information which the Commissioner will disclose into the public domain. The decision and information in Part 1 will be made available on the NYPCC web site within 2 working days of approval.

Only where material is properly classified as restricted under the GPMS or if that material falls within the description at 2(2) of The Elected Local Policing Bodies (Specified Information) Order 2011 will the Commissioner not disclose decisions and/or information provided to enable that decision to be made. In these instances, Part 2 of the Form will be used to detail those matters considered to be restricted. Information in Part 2 will not be published.

Part two

Is there a Part 2 to this Notice –YES

If Yes, what is the reason for restriction – Note of legal advice provided to the Commissioner, Chief Constable and Statutory Officers, GPMS Restricted and subject to legal professional privilege.

Originating Officer Declaration

Author name:                   Simon Dennis

Collar number:                 003638

  Name     (Collar Number) Date of completion (√)
Head of Departmenthas reviewed the request and is satisfied that it is correct and consistent with the NYPCC’s plans and priorities. J Carter CEO 10/4/14
Legal AdviceLegal advice has been sought on this proposal and is considered not to expose the PCC to risk of legal challenge or such risk is outlined in Part 1 or Part 2 of this Notice.  C Clarke   10/4/14
Financial AdviceThe CC CFO has been consulted on this proposal, for which budgetary provision already exists or is to be made in accordance with Part 1 or Part 2 of this Notice.  Jane Osborne 004293 10/4/14
Equalities AdviceEither there is considered to be minimal impact or the impact is outlined in Part1 or Part2 of this Notice. Author to complete as Equalities matters are mainstreamed within departments.    S Dennis 003638 9 April 2014

I confirm that all the above advice has been sought and received and I am satisfied that this is an appropriate request to be submitted for a decision

Signature                             S Dennis                                                                         Date 9 April 2014

APPENDICES:

Appendix A:  Memorandum of Understanding Second memorandum of Understanding 010414

Appendix B – Monitoring Officer Protocol  Appendix Two – MO Protocol

Appendix C – Collective Agreement  Appendix Three – Collective Agreement

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