Purpose of the circular: To provide updated guidance on Chief Officer Appointments in the Scottish Police Service

Transcription

1 Justice & Communities Directorate Police Powers, Performance & Resources Identity No: Police Circular No: 7/2007 Title: CHIEF OFFICER APPOINTMENTS IN THE SCOTTISH POLICE SERVICE Guidelines on Selection Procedure Addressed to: Chief Constables Clerks to the Joint Police Boards and Police Authorities St Andrew's House Regent Road Edinburgh EH1 3DG Telephone: Fax: Date: 23 November 2007 Topic: Guidance on the selection procedure for Chief Police Officers Issued: 23 November 2007 Implementation: Immediate Impact: This circular replaces Police Circular 1/2000 issued in February Contact(s) for more information: Gillian McDonald ( ) Dear Colleague Purpose of the circular: To provide updated guidance on Chief Officer Appointments in the Scottish Police Service Summary of contents: This circular provides revised guidance for police authorities on the procedures for the selection and appointment of chief police officers in Scotland. The guidance has been produced by a Police Advisory Board for Scotland (PABS) short life working party, which comprised representatives from PABS members. The guidance is intended primarily to be a source of reference on good practice for all involved in chief police officer appointment processes in Scotland. It provides an overview of the appointment process and detailed analysis of the three stages: stage one the preassessment covers issues such as the drawing up of the job description and other documents up to the closing of the advert; stage two assessment includes the panel s short-listing and interview process; and stage three appointment sets out the process for appointing the successful candidate. The guidance is not meant to be a comprehensive description of all the statutory duties and functions which a police authority must adhere to, or of any legal obligations which are contained in the statutory provisions referred to in this guidance or elsewhere. If you have any questions about this guidance please contact me. Yours sincerely Gillian McDonald A list of circulars published in 2007 is listed on the SG web site at /Topics/Justice/Police/Circulars/2007 Issue 1 November 2007

2 abcdefghijklmnopqrstu DIRECTORATE GENERAL JUSTICE AND COMMUNITIES CHIEF OFFICER APPOINTMENTS IN THE SCOTTISH POLICE SERVICE Guidelines on Selection Procedures Issue 1 November 2007

3 CHIEF OFFICER APPOINTMENTS IN THE POLICE SERVICE GUIDELINES ON SELECTION PROCEDURES CONTENTS PAGE Introduction 1 Overview of the Appointments Process 2 STAGE ONE PRE ASSESSMENT Initial Considerations 3 Advertising 4 Applications 4 Medical Fitness Requirement 6 STAGE TWO - ASSESSMENT Processing Applications 7 Selection Procedures 8 Short Listing 9 References 10 Interviewing 11 STAGE THREE APPOINTMENT Post-Interview Procedures 14 Feedback to unsuccessful applicants 15 GOOD PRACTICE General 15 Monitoring 15 Issue 1 November 2007

4 ANNEXES A.1 Generic job description for assistant chief constables A.2 Generic job description for deputy chief constables A.3 Generic job description for a chief constable B Person specification (personal competencies) C Evaluation schedule D Application form E Medical history questionnaire F.1 Referee s Report F.2 Chief Constable s/hmcic s Report F.3 HMCIC s report on candidates G.1 Chief Officer short listing schedule G.2 Chief Officer interview record form G.3 Chief Officer final selection schedule H Chief Officer appointments application record sheet Issue 1 November 2007

5 CHIEF OFFICER APPOINTMENTS IN THE POLICE SERVICE GUIDELINES ON SELECTION PROCEDURES Introduction 1. This guidance is intended primarily to be a source of reference on good practice for all involved in chief police officer appointment processes. The guidance provides an overview of the appointment process and detailed analysis of the three stages: stage one the pre-assessment covers issues such as the drawing up of the job description and other documents up to the closing of the advert; stage two assessment includes the panel s shortlisting and interview process; and stage three appointment sets out the process for appointing the successful candidate. 2. The guidance is not meant to be a comprehensive description of all the statutory duties and functions which a police authority must adhere to, or of any legal obligations which are contained in the statutory provisions referred to in this guidance or elsewhere. 3. The appointment of chief police officers is the responsibility of the relevant police authority. Therefore it is for them to satisfy themselves in conjunction with their legal advisors that the recruitment and appointment process meets the legislative requirements. 4. HMCIC s role in the selection process is to provide support to police authorities as the senior independent impartial professional adviser on policing. It is also to provide assurance to Scottish Ministers that the selection process has been carried out in an open, fair and transparent manner and that the selection is based on merit. 5. Police constables (including the chief constable) are not employees for the purpose of the Employment Rights Act. However the process of their appointment, and their terms and conditions of appointment, are covered by the non-discrimination provisions of the following legislation: the Race Relations Act; the Sex Discrimination Act; the Disability Discrimination Act; the Employment Equality (Religion and Belief) Regulations; the Employment Equality (Sexual Orientation) Regulations; and the Employment Equality (Age) Regulations. Briefly, that means that candidates and appointees must not be treated less favourably on the grounds of the attribute that the piece of legislation deals with, such as disability, gender, age etc. 6. This guidance applies only to chief officer appointments which are governed under sections 4 and 5 of the Police (Scotland) Act 1967 and regulation 11 of the Police (Scotland) Regulations It does not cover appointments to the Scottish Police Services Authority. Issue 1 November

6 OVERVIEW OF THE APPOINTMENT PROCESS Board finalises recruitment documents seeking advice from HMCIC Board submits recruitment documents for Scottish Ministers approval Scottish Ministers approve recruitment documents Stage One Pre-assessment Board advertises post After closing date Board submits list of applicants to Scottish Ministers HMCIC d t it f h Scottish Ministers approve list of candidates to be considered for interview Selection panel agree short-list of candidates Stage Two Assessment Successful candidates medical and familiarisation visit Unsuccessful candidates notified Selection panel interview candidates Board and HMCIC report to Scottish Ministers on the appointment process Stage Three Appointment Scottish Ministers approve appointment Board appoints successful candidate 2 Issue 1 November 2007

7 STAGE ONE: PRE-ASSESSMENT Introduction 7. This section outlines the process from preparing the recruitment documentation to gaining Scottish Ministers approval for the list of candidates. In detail it covers: initial considerations when recruiting a chief officer; drafting the recruitment documents and seeking HM Chief Inspector of Constabulary s (HMCIC) professional advice; submitting the documents for the Scottish Ministers approval; advertising the post; and finally submitting the list of applicants for the Scottish Ministers to approve to proceed to the next stage. Initial considerations 8. As soon as it is known that a vacancy will occur in a chief officer rank, the police authority should consider the core specifications required to fulfil the post. They should determine whether any qualification or variation needs to be made to them in relation to that particular vacancy. Annexes A.1-3 and Annex B set out a generic job description and competencies. If the vacancy is for a deputy chief constable (DCC) or an assistant chief constable (ACC), then variations should be determined in discussion with the chief constable. However, it is for the police authority to determine any such variations. Scottish Ministers should be given the opportunity to comment on the person specification and job description drawn up by the police authority before the advertisement is placed. 9. There are a number of things which the authority should take into account before the advertisement is placed. For example, it may be appropriate to include with the application form, guidance as to how the authority wishes it to be completed. An authority may wish to advise potential applicants that only the space available on the form should be used and that any attempt to expand on this will be regarded unfavourably. Alternatively, an authority may wish to allow applicants a free hand to include as much information as they wish. It is recommended that the application form should state clearly that CVs should not be attached and that if need be the template can be expanded for additional information. 10. A model Evaluation Schedule (Annex C) has been prepared to assist authorities in determining which qualities will be required for a particular chief officer vacancy. The police authority should decide at the outset which of the qualities in the Evaluation Schedule they regard as having a high, medium or low priority. 11. Finally, in giving candidates an appreciation of the job to which they wish to aspire, police authorities may wish to run briefing events either before or after 3 Issue 1 November 2007

8 the short-listing process. They will also wish to consider what format the interviews should take. Where authorities decide to use assessment centre techniques as part of the selection process, care should be taken not to involve any person who will ultimately be involved as an assessor. The programme of briefing should be common for all candidates and available to each of them. Advertising 12. All vacancies for chief officers must be advertised in such a way as to ensure that eligible officers can reasonably be expected to be aware of the opportunity, and must conform with the requirements of the determination made under regulation 11(5) of the Police (Scotland) Regulations Advertisements should be placed by the Clerk to the Authority, allowing a minimum of 3 weeks between the date the advertisement first appears and the closing date for applications. 13. HMCIC will offer advice to the Clerk on the draft job description, person specification, recruitment process and advertisement for the post. Advice will be based on HMCIC s professional judgement, to maximise the opportunity of responses from appropriately qualified and experienced candidates from across the UK, and to ensure consistency of approach across Scotland. The advice will be reflected in the draft documentation submitted to the Scottish Ministers. 14. Conditions governing the appointment should be included in the advertisement - which should also reflect the content of the person specification and include details of the pay range which will apply. 15. The Clerk should clear the advertisement with the Scottish Ministers, via the Directorate of Police & Community Safety before it is placed. Applications 16. Each qualified candidate who expresses an interest in applying for an advertised post should be provided with the following: - an application form; - the job description; - the person specification - a medical questionnaire - an evaluation schedule Issue 1 November

9 - a referee s report - chief constable s report form (for DCC / ACC vacancies) or HMCIC s report form (for chief constable vacancies) - details of timetables for the assessment process; - a description of the assessment process; - details of organisational structure; and - conditions of service, pay (perhaps including details of actual salary to be paid with an indication of review arrangements), other allowances, etc. Authorities should also include details of the proposed fixed term appointment, indicating the likely length of such an appointment. It is always helpful to applicants if they can be given a pack of information on the post being advertised. It is therefore suggested that the following should be sent to all qualified candidates: - the chief constable s last annual report; - the most recent HMCIC s Report on the Inspection of the Force; and - general information about the force area. 17. It will be for each police authority to devise its own person specification to match the requirements for a particular post; a specimen model is attached at Annex B. The person specification should clearly describe the skills/abilities/ personal qualities needed to undertake the duties of the post and should be agreed by the selection panel. The person specification should be used as the basis to write the job advertisement; to decide on methods of assessing applicants; to assess applicants for short-listing and final selection; to structure the selection interview and frame questions; and to record the process and reasons for decisions taken. Each person specification should contain two levels of criteria essential and desirable. Essential criteria are those qualities specified in the determinations made by Scottish Ministers and which are necessary for performance of the job at a satisfactory level from the first day in the job. They represent a minimum standard and an applicant lacking an essential criterion should not be considered for the vacancy. Desirable criteria are those which would enable an applicant to perform the job more effectively. Skills or experience which could be acquired in a relatively short time following appointment should not be included as essential. 18. It will be for each police authority to devise its own application form to match the person specification for a particular post but a specimen model is attached Issue 1 November

10 at Annex D. However, to ensure that applicants meet the minimum requirements (as set out in the Determinations made under the Police (Scotland) Regulations 2004) all application forms should include the date on which they took up substantive rank in their present post. For DCC / ACC vacancies, the application form should ask candidates to contact their chief constable and ask him/her to complete a report on them. Where the applicant is a chief constable the application form should ask candidates to contact the relevant HM Chief Inspector of Constabulary and ask him/her to complete a report on them. These reports should be returned to the candidates by either the chief constable or HMCIC and Police Authorities should advise candidates of the date by which they should return these references to them. (This is likely to be similar to the closing date for applications). The report (Annex F.2) should be based on the qualities listed in the Person Specification (Annex B) and the weighting given to them in the Evaluation Schedule (Annex C). In addition to the chief constable s/hmcic s report, police authorities may also seek references from one but no more than 2 other referees. These referees should also be asked to offer comment based on their knowledge of the candidate s abilities after taking into account the qualities identified in Annex C. Annex F.1 is a specimen model for this purpose. A point of contact to enable the applicant or referee to obtain further information about the vacancy should be included. 19. To assist objective appraisal of candidates skills and abilities, structured application forms should be used requiring applicants to provide evidence of job relevant skills and abilities drawn from the job and person specifications. Police authorities should ensure that all application forms adhere to equal opportunities legislation. Medical Fitness Requirement 20. The applicant may also be asked for certain medical information. It is advisable that reasons for requesting the information should be fully explained and it should be made clear that this information will not be seen by those responsible for the selection process. It will only be assessed by medically qualified personnel. It is strongly recommended that the following system should be adopted. 21. Medical questions should be on a separate form included with the application form the standardised medical questionnaire is at Annex E. 22. The applicant should be asked to complete the medical questionnaire and seal it in the envelope provided, returning this with the application form. They should also be advised to visit either their force medical officer or GP at the time they apply so that any condition which may require further investigation can be pursued before the formal medical examination. This enables the selection panel to keep control of the timetable by ensuring complete medical information is to hand in time for the interview. It also avoids the situation 6 Issue 1 November 2007

11 where the selection panel has openly to offer the position to another applicant when the preferred candidate is disqualified by reason of medical fitness. Such a situation may leave the appointee with the impression that he/she had been accepted as second best. The method of processing this information is dealt with in paragraph 49 below. The form should explain however that the police authority s medical adviser will contact the applicant s own doctor or force medical adviser if any information given in the form suggests this is necessary. The applicant s authority to do this should be sought at the same time. 23. To avoid time delays the medical questionnaire should be opened by the police authority s medical adviser only if the candidate is subsequently shortlisted or where there are only a few applicants at the time invitations to interview are sent out. This should enable any problems identified in the questionnaire to be addressed approximately 2 weeks before the interview date. 24. Applications should be submitted by the applicant directly to the Clerk to the Authority. STAGE TWO: ASSESSMENT Introduction 25. This section gives more information about the assessment phase of the recruitment process. In detail it covers: short-listing candidates; medical and familiarisation visits; and selection panel interviews. Processing applications 26. As soon as applications have been received, and certainly no later than the closing date for applications has been reached, copies of the completed application forms should be sent to the Scottish Government (Directorate of Police & Community Safety) by the Clerk to the Authority. Within the already agreed timetable, HMCIC will prepare an assessment of each candidate. This assessment will be shared with the candidate to ensure openness and to offer feedback on areas for development where applicable. Where an applicant is from a UK police force outside Scotland, HMCIC shall commission a report from the relevant HMI but reserve the right to add his own assessment or to change a grade, having regard to the local and national contexts in Scotland. The grading system used by HMCIC for Scotland is: S1 - Highly suitable for the post S2 - More than suitable for the post S3 - Suitable for the post N - Not yet ready or otherwise not suitable for appointment 7 Issue 1 November 2007

12 27. The grade attached to a candidate will be taken into account by the Scottish Ministers in approving the list of candidates for consideration, and by the relevant Board when reaching its decision on which candidates to call for interview. If there is a sufficient number of applicants to require the police Board to decide on a shortlist for the final stage of selection, the grading of the candidates should offer the initial means of distinguishing between them. The Clerk to the Board should record the decisions underpinning any shortlisting and the evidence considered upon which the decision was based. 28. The Scottish Government will advise the police authority, in advance of their compilation of short lists (or where only a few candidates apply, in advance of interview), of the names of the applicants whom Scottish Ministers would regard as unsuitable for appointment. This will include the reasons why they have decided to exclude a particular candidate. In reaching their view, Scottish Ministers will take account of the job description, person specification and the report by and advice of HMCIC. Candidates who have been regarded as unsuitable by Scottish Ministers will be offered the opportunity to receive feedback from HMCIC on the reasons why they have been unsuccessful. Selection Procedures 29. It is recommended that a police authority should set up a selection panel which would then be available to consider the short-listed applicants and subsequently conduct interviews. The selection panel should be constituted as a committee or sub-committee of the police authority and be duly authorised to make appointments. All members of such a panel must have attended at least one recognised training session, organised or approved by the Convention of Scottish Local Authorities (COSLA) for the selection of chief police officers. 30. The panel should consist only of members of the police authority. Neither the press nor members of the public should be present at any stage of the process, and no information on the applicants should be released until the Scottish Ministers approve the appointment. A panel should consist of between 3 to 6 members. However, the number of members on the panel is for the police authority to determine. HMCIC should be present at all meetings to discuss appointments, to offer professional advice and clarification on policing matters as necessary, and in order to provide formal assurance to the Scottish Ministers at the end of the selection process as outlined in paragraph The selection panel, on behalf of the police authority, must measure candidates against the person specification criteria. This information must be available to assist the short-listing panel in their deliberations. Issue 1 November

13 32. The various stages of the selection process should be carried out by all members of the selection panel who must meet at each stage. Once the selection panel has been agreed, only in extreme circumstances should its membership be altered. It should not be changed after interviewing has started unless in extenuating circumstances, where a panel may decide to continue the selection process with fewer members. 33. The police authority should consider applicants Scottish Ministers have indicated are suitable for interview, in the light of: - the person specification; - the application form; - the weighting given to individual qualities in the evaluation schedule; - chief constable comments (for DCC / ACC vacancies) or HMCIC (for chief constable vacancies); - referees reports if available; and - the individual assessment prepared by HMCIC. 34. Identification of candidates for interview should be based on objective criteria from the person specification, job description and evaluation schedule. The reasons for that decision must be fully recorded. 35. The police authority is required to consult the chief constable before appointing a DCC / ACC. In order that such consultation shall be meaningful, both the chief constable, and HMCIC as adviser, should be present at the short-listing, where they can also advise on technical or professional matters. For chief constable appointments, HMCIC should be present at the short-listing to act as an adviser. Neither the chief constable nor HMCIC will act as members of the panel. In the case of chief constable appointments, the outgoing chief constable should not be present under any circumstances. During its deliberations, the panel must have the Clerk and a personnel expert available to advise on legal and technical points. Short-listing 36. To assist panel members with their short-listing procedure, a model form entitled short-listing schedule (Annex G.1) has been prepared. The form should list those qualities identified in the person specification and evaluation schedule. Members should use the high, medium or low priority already given to these qualities in their assessment. Panel members should have available to them the application form, person specification, HMCIC s assessment and line manager s report form from the chief constable where the applicant is not already a serving chief constable, or an appropriate report from HMCIC for chief constable vacancies, where the applicant is already a chief constable or equivalent. Issue 1 November

14 37. For each of the essential skills or qualities the short-listing panel should agree the level and type of experience needed in each of the competence areas to warrant invitation to interview. Applications should be independently evaluated by panel members for appropriate levels of evidence and then collectively reviewed before a consensus decision is reached. Any accompanying data or other sources of information to be used should be declared to the applicants in advance. A record must be made of the reasons for inclusion or exclusion of candidates on the short list. 38. The panel should prepare a short list of candidates to be invited to interview. Applicants who meet the essential criteria on the person specification should be short-listed for interview. If there are only a few (potentially acceptable) candidates, the panel may nevertheless decide to proceed to interview stage. No candidate may be selected without interview. 39. The invitation to attend for interview should be written. Although the date of the interview will have been indicated in the advertisement reasonable notice should be given to allow candidates to prepare for the interview. Candidates not invited for interview should also be notified in writing and should be offered the opportunity to receive feedback from HMCIC. 40. The names of the short-listed candidates should be notified to the Scottish Government by the Clerk to the Authority. References 41. References can be particularly susceptible to subjective assessment. Soundings about individuals taken on an informal network could undermine the objectivity of the formal selection process and could result in decisions being made against irrelevant, incomplete or even discriminatory assumptions. Moreover, as a matter of good practice, all information used in the selection process should be available for inspection in the event of the selection decision being challenged by an application to an Employment Tribunal. Care should be taken to ensure that unlawful discrimination does not occur, for example, where: - references are based on assumptions which could discriminate unlawfully against an individual. - character or personal references include information about personal circumstances, interests or background which could result in discriminatory assumptions being made about an individual. - references are based on general assumptions about, or inadequate knowledge of, an individual s personal attributes, skills or abilities. Issue 1 November

15 - factual information contained in a reference is not checked with the individual concerned since the reference may otherwise include material which is inaccurate, untruthful or out of date. 42. References should not be accepted by telephone and should only be obtained from referees listed on the candidate s application form. Exceptionally, however, if a referee is unable to meet the deadline for submission of a reference, this may be accepted by telephone providing it is followed by a hard copy. Failure to submit such a copy should render the reference invalid. Requests for references should be structured against the job description, person specification and evaluation schedule and be in line with the criteria used for short-listing, ideally verifying the facts as recorded in the application form. It is recommended that copies of the job description, person specification and evaluation schedule should be enclosed. Outdated reports and references from remote line managers who are not currently in an appraising officer role for the individual should be treated with caution. 43. A line manager s report from the applicant s chief constable is a requirement for all DCC/ACC applications; and an appropriate report from HMCIC where the applicant is already a chief constable. These completed reports should be sent to the police authority by the due date and should be copied to the applicant. In addition to returning the report to the applicant, the chief constable should send his report to HMCIC and copy it to the police authority. The decision to call for other references is a matter for the police authority. Where references are sought, it is recommended that the authority should ask for a minimum of one and a maximum of 2. These should be taken from as wide a field as possible. Referees should be instructed to only complete answers to questions for which they have relevant information. Interviewing 44. It is essential that HMCIC be present at the final selection interview and during any associated exercises. In both respects, therefore, it will be necessary for Clerks to consult HMCIC s office to ensure his availability prior to dates being communicated to candidates. 45. HMCIC shall offer advice to the selection panel on the structure and content of the interview process, to ensure an appropriate balance between local issues and national considerations; and, in the case of DCC / ACC appointments, to ensure that the relevant chief constable s views are properly taken into account. HMCIC will support the selection panel during the process in explaining and clarifying any technical references or claims made by candidates. He will also offer his assessment of the merits and accuracy of evidence put forward by a candidate in citing their professional experience, expertise and achievement. Issue 1 November

16 46. All applicants should be interviewed against the previously agreed essential competencies criteria with interviews being structured against agreed question areas. In so far as is possible there should be consistency between interviews. The duration of interviews should be consistent to ensure that performance has been assessed on the basis of equal opportunity for all candidates. 47. In appointing chief officers it is important that selection panels should have the advice of professional police officers and HMCIC and should give due regard to their input. In the case of DCC / ACC appointments, the panel is required to consult the chief constable before an appointment is recommended. In order that such consultation shall be meaningful, the chief constable must be present at the interviews of all candidates. The chief constable can then advise the panel on such matters as the key skills and qualities being sought for their senior management team. The chief constable s views should be an important factor in influencing the panel s decision. 48. Where there is a difference in advice offered to the Board by HMCIC and the chief constable, on the skills and qualities of DCC/ACC candidates, it will be for the Board to determine which advice they choose to follow. If the Board decides to appoint a candidate over whom there has been a difference of advice, the scope and extent of the difference should be covered in the letter from the Chair of the selection panel to Scottish Ministers at the end of the selection process. 49. Applicants will normally have completed a medical questionnaire (paragraphs 20-24) which on receipt of the application will have been passed, unopened, to the police authority s medical adviser. It is the responsibility of the medical adviser to consider this and (having consulted the applicant s own doctor or force medical adviser if necessary) indicate to the panel the applicant s suitability or otherwise on medical grounds for the post in question. 50. Following each interview, each member of the panel should complete a structured interview record form (model attached at Annex G.2) assessing the candidate against the agreed essential competencies criteria and recording an overall marking in accordance with the scale shown below: 1 Met 2 Not Met 3 Partially Met (These forms may be evidential in the event of legal challenge). 51. The selection panel should then invite general discussion of the candidate including individual member s assessments as set out above. The panel will then agree an overall interview marking using the scale identified above. Issue 1 November

17 52. Authorities may wish to consider the addition of presentations and/or assessment centre techniques as part of the evaluation. If included, these should be objectively appraised with pre-set criteria, they should be job relevant, and they should always precede the interview stage. 53. Where presentations are to be used, all candidates should be given the same topic. They can either be given advance notice of the topic or asked to make a presentation without preparation for which they should be given 10 to 15 minutes notice of the topic. Where they are being given advance notice, the topic should be included in the letter of invitation to interview. Candidates should be given an indication of the expected duration of the presentation and the presentational facilities available to them. 54. If, additionally, a selection panel wishes to consider the use of assessment centre techniques, such as in-tray exercises, press briefings and group discussions and exercises, then it is strongly recommended that professional advice be sought. 55. Previous informal contacts with applicants, especially in the form of social functions involving candidates and panel members, are not an effective means of assessing candidates and it is recommended that they should be avoided. They can introduce a high element of subjectivity and subsequent bias into the interpretation of the candidate s performance, are potentially discriminatory and are open to challenge. STAGE THREE: APPOINTMENT Introduction 56. This section sets out the process for approving the Board s preferred candidate. It covers in detail: the reporting process by HMCIC to the Scottish Ministers; gaining the Scottish Ministers approval of the Board s decision and finally appointing the successful candidate. Post Interview Procedures 57. The final decision should be recorded and made against structured and objective criteria, with an overall mark assessed against the following scale: S1 Highly suitable for the post S2 More than suitable for the post S3 Suitable for the post N Not suitable for the post Issue 1 November

18 58. Full use of the scale is to be encouraged by the chairperson. Care should be taken not to evaluate candidates against potentially unlawful discriminatory considerations such as family or domestic arrangements. A model form to assist in these deliberations is attached at Annex G If there are significant differences between panel members, it will be necessary for the panel to review the internal consistency of their marks and distinguish as closely as possible between the different levels of performance between candidates. It is the responsibility of the chairperson to challenge panel members overall grades where these appear contrary to the direction of evidence and marks awarded for the various elements of the selection process. There should be an attempt to reach a consensus as to the final grade awarded by the panel. If 2 (or more) candidates are considered equally suitable for the post but the panel is unable to agree which to select, the chairperson should encourage further discussion, adjourning only in exceptional circumstances, to resolve the difficulty. The reasons for reaching decisions on individual candidates must be recorded. 60. After considering all the evidence, the selection panel will immediately indicate to HMCIC its decision who will have been present throughout the process. In accordance with sections 4(1) and 5(2) of the Police (Scotland) Act 1967 the Police Authority will write to the Scottish Ministers setting out the reasons for the Board s decision and seeking formal approval of the appointment The formal request for approval should be agreed by all members of the panel. 61. In addition, HMCIC will provide assurance to Scottish Ministers whether the selection process was followed in accordance with the guidelines, whether evidence has been properly recorded and weighed in respect of each of the candidates and whether the professional advice of HMCIC and the chief constable (in the case of DCC/ACC appointments) has been properly taken into account. Both reports will be completed within two working days of the Board s decision. Scottish Ministers will normally provide their approval within 2 working days of receiving the reports. In the event that approval is withheld, Ministers will set out their reasons which will be considered further by the Board. 62. No candidate can be appointed without the formal approval of Scottish Ministers. Information on the applicants should not be released until the Scottish Ministers have approved the appointment. Issue 1 November

19 Feedback to unsuccessful applicants 63. In the interests of the career development of applicants, it is essential that they should be given the opportunity, if they so wish, to learn how they performed during the selection process. The opportunity for candidates to receive feedback will be arranged by HMCIC. 64. It will be for the applicant to decide whether he/she wishes to be made aware of the contents of the report. Whilst the report should be sent to HMCIC, it should not be sent to the applicant s chief constable unless the applicant s permission has been given; (but in the interests of career development, the applicant should be encouraged to agree to this). GOOD PRACTICE General 65. At all stages of the selection process, including short-listing, the person responsible for that part of the process (usually the chairperson) should certify a record of the process and the reasons for the decisions reached. 66. It should be noted that all information and material relating to the selection process is confidential and should not be disclosed to or discussed with anyone other than members of the selection panel (and its advisers). The panel may, however, be asked to justify its decision to the police authority, in which case the records of the selection panel may be made available to members of the police authority. No-one other than members of the selection panel (and its advisers) should be involved in, or be present at, any stage of the selection process. 67. To allow for any Employment Tribunal application against non-selection, all selection documents should be retained for at least 12 months. Monitoring 68. The Scottish Government will keep a record of the number, gender, race and age of people applying for each chief officer post, of those short-listed and of those selected. This information will be made public on request. However, each police authority should undertake equal opportunities monitoring in accordance with best personnel practice. Issue 1 November

20 69. Additionally, the authority may wish to keep a record of the applicant s progress through the selection procedure. A model application record sheet has been prepared at Annex H. Scottish Government Policing & Community Safety Directorate. November 2007 Issue 1 November

21 ANNEX A.1 GENERIC JOB DESCRIPTION FOR ACCs Post Title: Responsible to: Responsible for: Assistant Chief Constable The Chief Constable (A functional description can then follow in one sentence) Aims of the job: 1. As a member of the Chief Officer team of the force, you are involved in: scanning and influencing the external and internal environments affecting the force; the development and implementation of strategies to further the policing of (name of force area). In achieving this you will have to gain support for the force; the process of force planning, implementation of plans and the control of the planning process; evaluating and improving performance; and under the direction of the Chief Constable to work with the police board, the Scottish Government and the Scottish Police Services Authority to continue to develop policing locally and across Scotland. You have the specific aim of developing and implementing these performance standards in the functional areas set out in the main duties and responsibilities below. 2. The command of operational issues within the force area whenever you are required. Main duties and responsibilities (There will be considerable differences between forces in the light of their size, organisational structure and the problems of policing. What follows is a list of the functions which can be split amongst members of the chief officer team. Each ACC will have responsibility for a share of the functions. The list is a series of bullet points. Details relevant to the force will have to be added. There will be additional points that chief constables may wish to include.) 1. Finance and Resources Included in this area might be: the management of financial processes including devolved budgets; best value; the management of the force s estate (land and buildings); 17

22 the setting of user specifications of vehicles, uniform and equipment; the procurement of vehicles, uniform and equipment; and vehicle fleet management. 2. Administration 3. Information systems and information technology Included here might be: the means by which information needs are identified; the identification of appropriate IT to meet that need; project management of information systems, IT and radio communications; and data protection. 4. Human resource management A wide range of issues will be addressed here, including: setting HR strategies, including equal opportunities; resourcing strategies and planning (recruitment, deployment, promotions, release from the force, hire of sub-contractors); development (performance management and appraisal, promote training, career development, team development); compensation and benefits (remuneration criteria, benefits, pay); relations with employees (change processes, communication with employees, occupational health and welfare, counselling, negotiations with staff associations, trade unions and other groups, grievance procedures, discipline); Special Constabulary; and Undertake investigations into serious allegations against police officers within your own force or at the request of another police authority. Included under this title might be Complaints. 5. Management Services Under the broad title, forces include a variety of functions including: research and development; 18

23 organisational development (this could embrace force reorganisation); corporate development; corporate support; performance review; inspection; quality programmes; the process of communication; and business planning (It should be borne in mind that the function described here could be confused with the aims of the job set out above unless there is clarity). 6. Community Relations This title can encompass a variety of issues, including: partnership; inter-agency work; liaison with outside agencies (eg Victim Support, schools, etc); and press and media relations. (In some forces the partnership and inter-agency work is linked closely to crime prevention. In some forces, the Special Constabulary is embraced in this area rather than under the Personnel head). 7. Issues of Accountability (A number of job descriptions returned from forces make very specific reference to the work of a chief officer in dealing with issues of accountability and relationships with such bodies as the Police Authority, the Scottish Government Justice and Communities Directorate, ACPOS, the Accounts Commission for Scotland and HMIC. This section has therefore been included so that expectations can be clearly defined). Liaison with the Police Authority Liaison with the Scottish Government Justice and Communities Directorate Liaison with HMIC Contributing to the work of ACPOS 19

24 8. Crime Operations and Criminal Justice In examining the functional responsibilities of chief officers across the country, themes emerge. These are: in larger forces there is a divide between either CID Operations/Uniform Operations or between Territorial Policing (overall responsibility for the performance of BCUs/Divisions) and Support Policing (HQ, CID, Operational Support, control rooms, etc); in smaller forces a single ACC takes on the responsibility for all operational issues; there is a sharing of on call responsibilities between chief officers. Thus, each ACC will be required to authorise the deployment of firearms, specialist equipment and tactics from time to time; in those forces where there is a large Special Branch, or where there are particular security issues at stake, the functional responsibility for those matters is clearly declared; and the creation of criminal justice departments in forces is key to the handling of case papers and liaison with other parts of the criminal justice system, especially the Crown Office and Regional Procurators Fiscal. This whole area of operations is vital, and the list of issues which follows seek to highlight examples of functionality which have been touched upon in replies from forces, It is by no means definitive and chief constables may want to be very specific in apportioning tasks. This list is split into three - crime operations, other operations and criminal justice. It is suggested that each element should include some reference to performance. 8.1 Crime Crime policy Co-ordination of activity Co-ordination of major enquiries Taking on the role of senior investigating officer (for very specific, important cases) Crime intelligence Authorising specific operations (especially where the deployment of large scale resources occurs) Scientific support Terrorism/SB Drugs Vulnerable victims and child abuse 20

25 Fraud 8.2 Operations Uniform support Major incidents Traffic Firearms Operations rooms/command and control facilities Public order Specialist units such as dogs, marine, horses, and underwater search Racial incidents 8.3 Criminal justice Administrative Support Units Liaison with other parts of the criminal justice system, including Crown Office and the Regional Procurators Fiscal. Force solicitors (recognising that this function could sit elsewhere) (The essence of this work is the creation of quality case papers which are used within the system in a timely fashion). 21

26 ANNEX A.2 GENERIC JOB DESCRIPTION FOR DCCs Post Title: Responsible to: Responsible for: Deputy Chief Constable The Chief Constable (A functional description can then follow in one sentence) Aims of the job: 1. As a member of the Chief Officer team of the force, you are involved in: scanning and influencing the external and internal environments affecting the force; the development and implementation of strategies to further the policing of (name of force area). In achieving this you will have to gain support for the force; the process of force planning, implementation of plans and the control of the planning process; evaluating and improving performance; and under the direction of the Chief Constable to work with the police board, the Scottish Government and the Scottish Police Services Authority to continue to develop policing locally and across Scotland. You have the specific aim of developing and implementing these performance standards in the functional areas set out in the main duties and responsibilities below. 2. The command of operational issues within the force area whenever you are required. Main duties and responsibilities (There will be considerable differences between forces in the light of their size, organisational structure and the problems of policing. What follows is a list of the functions which can be split amongst members of the chief officer team. Each DCC will have responsibility for a share of the functions. The list is a series of bullet points. Details relevant to the force will have to be added. There will be additional points that chief constables may wish to include.) 1. Finance and Resources Included in this area might be: the management of financial processes including devolved budgets; best value; the management of the force s estate (land and buildings); 22

27 the setting of user specifications of vehicles, uniform and equipment; the procurement of vehicles, uniform and equipment; and vehicle fleet management. 2. Administration 3. Information systems and information technology Included here might be: the means by which information needs are identified; the identification of appropriate IT to meet that need; project management of information systems, IT and radio communications; and data protection. 4. Human resource management A wide range of issues will be addressed here, including: setting HR strategies, including equal opportunities; resourcing strategies and planning (recruitment, deployment, promotions, release from the force, hire of sub-contractors); development (performance management and appraisal, promote training, career development, team development); compensation and benefits (remuneration criteria, benefits, pay); relations with employees (change processes, communication with employees, occupational health and welfare, counselling, negotiations with staff associations, trade unions and other groups, grievance procedures, discipline); Special Constabulary; and Undertake investigations into serious allegations against police officers within your own force or at the request of another police authority. Included under this title might be Complaints. 5. Management Services Under the broad title, forces include a variety of functions including: research and development; 23

28 organisational development (this could embrace force reorganisation); corporate development; corporate support; performance review; inspection; quality programmes; the process of communication; and business planning (It should be borne in mind that the function described here could be confused with the aims of the job set out above unless there is clarity). 6. Community Relations This title can encompass a variety of issues, including: partnership; inter-agency work; liaison with outside agencies (eg Victim Support, schools, etc); and press and media relations. (In some forces the partnership and inter-agency work is linked closely to crime prevention. In some forces, the Special Constabulary is embraced in this area rather than under the Personnel head). 7. Issues of Accountability (A number of job descriptions returned from forces make very specific reference to the work of a chief officer in dealing with issues of accountability and relationships with such bodies as the Police Authority, the Scottish Government Justice and Communities Directorate, ACPOS, the Accounts Commission for Scotland and HMIC. This section has therefore been included so that expectations can be clearly defined). Liaison with the Police Authority Liaison with the Scottish Government Justice and Communities Directorate Liaison with HMIC Contributing to the work of ACPOS 24