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Justice Department
Police Division Identity No: Police Circular No: 10/2004 Title: Superintendents Pay and Conditions of Service Addressed to: Chief Constables
Chief Executives,
Dumfries & Galloway Council
And Fife Council
Clerks to the Joint Police Boards | St. Andrew's House
Regent Road
Edinburgh EH1 3DG Telephone: 0131 244
Fax: 0131-244 2666 George.Vine@Scotland.gsi.gov.uk
http://www.scotland.gov.uk Our ref: DCG/B1/35 |
Dates
Issued: 13 May 2004 Topic: Pay and Conditions
Implementation: 1 April 2004
Impact: Amends Police Circular 3/2004
Contact(s) for more information: George Vine (Tel: 0131 244 2155)
Martin McDermott (Tel: 0131 244 2160)
at the above address)
Dear Colleague
Purpose of the circular: To provide guidance on how the performance bonus procedures for Superintendents are to be applied in Scotland.
Summary of contents: This circular authorises the implementation of the agreement reached in the PNB in relation to the performance bonus procedures set out in the memorandum attached to PNB Circular 03/18. While the principles outlined in the PNB guidance will apply in Scotland appropriate arrangements derived from the agreement are to apply. It has been agreed that the existing appraisal system that was approved by the Police Advisory Board for Scotland and which is used by the majority of Scottish police forces should provide the basis for the system in Scotland.
Arrangements should be made to implement the new procedures. Attached to this Circular are Performance Review Guidelines and Draft Standard Forms for use in implementing the new procedures.
A copy of this circular is enclosed for the Director of Finance in the police authority. Copies have also been sent to the Convention of Scottish Local Authorities, the police associations and the Accounts Commission.
George Vine
Police Division 1
| SCOTTISH POLICE SERVICESUPERINTENDING RANKS PERFORMANCE REVIEW GUIDELINES |
BACKGROUND
1. Police Negotiating Board Circular 3/18 contains new pay arrangements for Superintendents and Chief Superintendents. These arrangements include progression through the pay scales and the payment of a performance related bonus on the basis of individual performance.
2. This guidance is intended to comply with the terms of the "PNB guidance on Linking Pay to PDRs" in England and Wales and provide a generic framework for the operation of this Circular in the Scottish Police Service based on current arrangements and practice with regard to annual appraisal of performance.
3. These arrangements include progression through the pay scales and the payment of a Performance Related Bonus on the basis of performance against objectives and rating of competence. PNB Circular 3/18 is reproduced at Annex A (Pay and Conditions of the Superintending Ranks) and Annex B Post-Related allowances for officers of Chief Superintendent rank.
4. This document is intended to provide generic guidance on the following:
§ Performance and Development Review
§ Superintending Rank Pay Requirements
§ Action at the commencement, during and end of the reporting period
§ Pay Action
§ Roles and Responsibilities
§ Action in the event an officer is not satisfied with Review
§ Monitoring and Quality Assurance
§ Amendments required to Performance Review Documentation
PERFORMANCE REVIEW ARRANGEMENTS IN SCOTLAND
5. The Scottish Police Service has, for a number of years, reviewed the performance of its officers through a generic, competence based, evidenced appraisal system. There are three elements to this system, the Role Requirement, the Appraisal, and the Personal Development Plan.
6. The current process will prevail in Scotland, with Superintendents and Chief Superintendents creating a role requirement, being assessed, based on evidence of performance against defined competencies and with a personal development plan being compiled. However, to comply with the requirements of the PNB Circular, additional criteria have been introduced.
SUPERINTENDING RANKS PAY REQUIREMENTS
7. From 1 April 2004 all Superintending ranks must have a Performance and Development Review based on the revised arrangements. Consequently, every twelve months officers must be assessed against ability to meet existing core competencies, based on the current 7 score rating system and work-based, personal objectives, using a 3 score rating system:
1 | EXCEPTIONAL |
| |
2 | COMPETENT |
| |
3 | NOT YET COMPETENT |
8. The new arrangements for the Superintending ranks' pay mean that each officer in the rank of Superintendent and Chief Superintendent must have a Performance and Development Review which incorporates an overall rating of either " Exceptional", " Competent" or " Not yet Competent" in relation to work-based personal objectives. The following guidance therefore shows how an overall rating should be decided.
AT THE COMMENCEMENT OF THE REPORTING PERIOD9. The Police Advisory Board (Scotland) requires Chief Officers to put in place mechanisms to ensure that the quality of Performance and Development Review is consistent across the Force. This is particularly important when pay is to be linked to this process. At the beginning of the reporting period it is essential that a Role Requirement form is compiled, understood and agreed between the officer and Line Manager.10. The new Police Negotiating Board guidance requires that all Superintending ranks should have:
§ At least four work-based personal objectives - These should be determined, and agreed, by the line manager and the officer concerned, following consultation. It is considered that four is a suitable number to enable proper assessment to take place. However, if it is decided that an officer should have more than four, the Line Manager shall, in consultation with the officer, decide at the beginning of the reporting period, which four are to be assessed for the purpose of pay. Work-based personal objectives must be Specific, Measurable, Achievable, Realistic, and Timebound (SMART). This is fundamental to ensure that no ambiguity exists at the end of the reporting period in terms of whether objectives have been achieved. This element is particularly critical, as the outcome of the assessment will have a direct bearing on remuneration.
Whilst it is essential that the objectives should be S.M.A.R.T. based, given that many issues can extend beyond the influence of the police service or the individual, for example the incidence of violent crime, the objectives should not amount to the setting of organisational or numerical targets.
11. To achieve this requirement, every Superintendent in Scotland will complete, and agree with their Line Manager, at the beginning of the reporting period:
§ A Role Requirement which identifies the activities and responsibilities of the particular role. This should be sufficient to ensure that the key elements of the role are properly identified and reflected. The existing Role Requirement (or parallel documentation) will be utilised to fulfil this function with the added requirement that the four work-based personal objectives are explicitly defined and recorded.
12. The reporting period will consist of a 12-month period which will normally fall in the month of the anniversary of the officer's promotion to Superintendent.
DURING THE REPORTING PERIOD13. The Performance and Development Review process is continuous. The officer and Line Manager should meet regularly to discuss performance, anticipate or address any problems and identify development opportunities. Progress against the core competencies and work place objectives must be regularly discussed and reviewed with the officer to ensure that they remain appropriate and decisions at the end of the year are based on proper consideration and appropriate evidence.
AT THE END OF THE REPORTING PERIOD14. At the end of the reporting period the following actions must take place:
§ As at present, the officer and Line Manager must discuss achievement and performance in respect of existing core skills and competencies. With the revised arrangements, the extent of achievement of work-based personal objectives will now form an integral part of this process.
§ The existing process whereby the line manager, in consultation with the officer, determines individual gradings ranging from " Unsatisfactory" to " Outstanding" will continue.
§ Given the enhanced role of the line manager in determining competency, it will now be necessary for the line manager to determine the grading.
§ Each of the four work-based personal objectives must be assessed individually as being " Exceeded", " Achieved" or " Not Achieved".
§ If the objectives have been properly constructed at the commencement of the reporting period and are S.M.A.R.T. then it should be clear which assessment is appropriate.
§ If an objective has not been achieved and the reasons for this are outwith the officer's control, then this objective shall not count towards the overall rating.
§ An overall rating, based on the existing assessment of core skills and competencies and the new element in respect of work-based personal objectives, must then be decided based on the individual assessments and ratings as follows:
- at least three out of the four objectives must be assessed as " Exceeded" and if only three are assessed as such, the remaining objective must be assessed as " Achieved";
- and a significant number of core skills and competencies are assessed as 5 (Meets and sometimes exceeds the requirements of the post) or above. Any not so rated must be rated as 4 (A sound and acceptable performance - the standard expected to meet the requirements of the post);
- and cognisance is taken of the officer's attendance
- all four of the objectives must be assessed as " Achieved";
- and a significant number of core competencies and skills are assessed as 4 (A sound and acceptable performance - the standard expected to meet the requirements of the post) or above;
- and cognisance is taken of the officer's attendance
-
Does not meet either of the Exceptional or Competent requirements above. This may be explained by virtue of the fact that the officer is relatively new to the role, may require further development or may have been absent for a prolonged period. In some circumstances, this rating may apply to an officer who has not been able to demonstrate a sufficient level of competency despite developmental opportunities and support.
Where performance is adjudged to be Not Yet Competent, the line manager must discuss with the officer the relevant areas for development. These will specifically relate to the officer's current role. Such development actions should be clearly outlined on the Performance and Development Review Form.
GENERAL
15. Where more than one role has been undertaken during the reporting period and more than one Performance and Development Review has been drawn up, the Line Manager must ensure that sufficient information is available to determine the overall Performance and Development Review rating for the reporting period. In such cases, the officer's Line Manager will consult with other Line Managers throughout the reporting period, before determining the appropriate grading.
The Line Manager must record the composite rating on the Performance and Development Review Form together with brief supporting comment which must be based on the requirements of the revised arrangements, for example "Competent as all four objectives have been achieved. Significant number of core skills and competencies are sound and acceptable." In the event, for example, that an officer disagrees with the composite rating, the officer will require to adduce evidence which supports this contention.
16. Line Managers must ensure that the objectives are S.M.A.R.T. and regularly reviewed and amended as necessary throughout the reporting period to ensure that, if an objective is not achieved, this assessment is fair and reasonable. It is possible that during the reporting period priorities may change and the officer has had to concentrate on another or new priority which has meant that an objective set at the beginning of the reporting period is no longer considered key. In circumstances where an objective was not achieved, if this change has been agreed by the Line Manager, the officer may still be assessed as "Competent" or "Exceptional" overall, if the other criteria are met. It should be noted that even where an officer has been assessed as "Competent" or "Exceptional" they will continue to merit further development.
17. The next stage in the Performance and Development Review entails the interview with the Counsellor. The Counsellor will validate the overall numerical grading and the assessment made in respect of achievement of workplace objectives. The Counsellor will thereafter endorse or otherwise the three score rating: Exceptional, Competent or Not Yet Competent. In the event that an officer is dissatisfied with the overall rating they should highlight their concerns with their Counsellor who can decide to confirm, change or amend the line manager's decision. It is understood that any concerns raised during this process will not be taken further than the Chief Constable.PAY ACTION18. These arrangements come into effect on 1 September 2004. However, given that the Performance and Development Review must cover a period of at least 6 months to inform an increment or bonus payment, the effective date in respect of the Scottish Police Service will necessarily be 30 September 2004.19. Increment/s/bonuses should not be paid until the overall review rating has been determined. The overall review rating will inform the next increment due for the relevant reporting period.
20. Forces which operate a Performance and Development Review running from 1 April - 31 March will require a slightly different approach. On promotion to the rank, if the first Performance and Development Review due covers a period less than 6 months, i.e. where promotion to the rank occurs on or after 1 October, either one increment, or a pensionable allowance equivalent to one increment, will be paid from the next increment due date (on anniversary of promotion). At the next Performance and Development Review the increment or the allowance:
§ Will be replaced with a double increment backdated to the incremental date of 1 September, if the officer receives an overall rating that is " Exceptional". This overall sum will be reduced by the amount of any monies paid in the interim.
§ Will be confirmed and the 'Allowance' replaced with one increment backdated to the incremental date of 1 September, if the officer receives an overall rating that is " Competent". This overall sum will be reduced by the amount of any monies paid in the interim.
§ Will be stopped with immediate effect if the officer receives an overall rating that is " Not Yet Competent". However, the amount of the 'Allowance' previously paid will be retained up to that time although no further payments will be made and the officer will revert to their previous incremental point.
21. It should be noted that, if at the time of the due increment the officer becomes subject to the formal provisions of the Police Efficiency (Scotland) Regulations 1996 and therefore likely to receive an overall rating of " Not Yet Competent", the payment of the increment or allowance may be deferred until the review rating is given.
22. Where a member of staff has been absent though sickness for the whole of the reporting period they are not eligible for performance related pay. However where Chief Officers have decided that an officer may receive full pay, they can also decide that in exceptional circumstances one increment may be awarded for that reporting period.
ROLES AND RESPONSIBILITIES
23. Superintendents and Chief Superintendents
§ Will contribute to discussions with their line manager on their Performance and Development Review core skills and competencies and work-based personal objectives.
§ Will be prepared to provide evidence for the assessment of their performance over the reporting year.
24. Line Managers (Chief Superintendents and Chief Officers)
§ Will ensure that Performance and Development Review discussions are conducted and decisions taken on time.
§ Will consult the jobholder on the setting and assessment of objectives, core skills and competencies when deciding on the overall rating.
25. Chief Officers
§ Will ensure that line managers undertake their responsibilities for Performance and Development Review.
§ Will ensure that consistent standards are applied.
§ Will agree or amend rating decisions as necessary.
26. Chief Constables and Police Authorities
§ Will ensure that the requirements for Performance Review and Development for the superintending ranks are followed in their Force.
§ Will ensure that standards for the performance of Superintendents and Chief Superintendents are clear and understood.
§ Will ensure that these arrangements are monitored and evaluated and action taken where necessary.
ACTION IN THE EVENT AN OFFICER IS NOT SATISFIED WITH REVIEW
27. The officer may raise any concerns regarding a Line Manager's assessment with their countersigning officer who can confirm, or change the Line Manager's decision. It is understood that any concerns raised during this process will not be taken further than the Chief Constable.
MONITORING AND QUALITY ASSURANCE
28. It is the responsibility of the Chief Constable to ensure that arrangements are in place in their Force to monitor the operation of this system and to take action if these requirements are not being followed. Forces must collate sufficient management information to enable monitoring to take place and to provide information to the PNB who will review the operation of these arrangements.
In monitoring the new arrangements, Forces should be aware that the PNB has an expectation that within the Scottish Police Service, approximately 80% of officers would be assessed as "Competent". |
AMENDMENTS REQUIRED TO PERFORMANCE REVIEW DOCUMENTATION
29. To facilitate the new arrangements Forces will require to make amendments to both the existing PABS Performance and Development Review Form and Role Requirement Form (or parallel documentation) in respect of the Superintending ranks only. Examples incorporating these amendments are attached.
30. The Role Requirement Form (or parallel documentation) should incorporate a three box rating, inserted alongside each objective (minimum four) to provide the facility to record whether each objective has been Exceeded, Achieved or Not Achieved.
31. Similarly, the existing Performance and Development Review Form (or parallel documentation) will require the inclusion of a new section incorporating the facility to indicate the overall rating of "Exceptional", "Competent" or "Not yet Competent". In addition, sufficient space should be provided for supporting evidence to be entered by the Line Manager. ANNEX A
PAY AND CONDITIONS OF THE SUPERINTENDING RANKS
Introduction
1. This agreement was ratified by the Superintendents' Committee of the PNB on 19th December. Its objectives are:
- To recognise the contribution of individuals to delivering policing outcomes.
- To enable faster progression through the scales for those who perform exceptionally.
- To add incentives for those who undertake the most demanding Chief Superintendent roles and for promotion.
- The agreement provides for:
- New pay scales from 1st September 2003.
- An allowance for those undertaking the biggest Chief Superintendent jobs from 1st April 2004.
- Progression through the pay scales according to ratings in performance development reviews (PDR) with effect from individuals review dates falling on or after 1st September 2004.
- From the same review dates the ability for those who have been at the top of their scale for at least twelve months to earn a performance - related bonus.
New Pay Scales
3.1.With effect from 1st September 2003 the pay scales shown below will apply, with assimilation for individuals from the equivalent point in the current scales.
Superintendents
1. £51,501
2. £53,625
3. £55,749
4. £57,876
5. £60,000
Chief Superintendents
1. £61,500
2. £63,249
3. £65,001
3.2. The protected scale for former Range 2 Superintendents not promoted to Chief Superintendent remains as follows:
1. £58,965
2. £59,988
3. £61,305
4. £62,751
Post-related allowance
4.1. With effect from 1st April 2004 officers in the very largest Chief Superintendent posts will be paid a non-pensionable allowance of £5001p.a, paid in monthly/four weekly instalments.
4.2. It is envisaged that nationally about 15% of Chief Superintendent posts may be eligible for this allowance but that the incidence will vary between forces, with some having relatively more and some relatively fewer such posts.
4.3. Agreed joint guidance on the identification of such posts is in Annex B to this agreement.
Incremental Progression
5.1. Until 31st August 2004 incremental progression through the scales will be as currently. Thereafter, it will be according to the individual's PDR rating. Those rated as competent will receive one increment. Those rated as exceptional will receive a double increment. Those rated as not yet competent will receive no increment.
5.2. Those on the penultimate point of their scale who are rated as exceptional will receive a one-off non-pensionable payment equivalent to the second increment, i.e. presently £2125 for superintendents and £1750 for Chief Superintendents, in addition to proceeding to the top of the pay scale. This payment will be paid as a single lump sum.
5.3. A joint working group of the Superintendents' Committee will prepare joint guidance on the operation of this procedure during January 2004.
Performance-related Bonus
6.1. Those who have been at the top of their pay scale for at least twelve months will be eligible for a performance-related bonus, if they are rated as exceptional performers in their PDR. This bonus will amount to 5% of pensionable pay at the time of the performance review. It will be non-pensionable. It will be paid as a single lump sum.
6.2. Former Superintendent Range 2s not promoted to Chief Superintendent, who have been at the maximum of the protected scale for at least twelve months, will also be eligible for this payment.
6.3. A joint working group of the Superintendents' Committee will prepare joint guidance on the operation of this procedure during January 2004. This work will be based around PDR arrangements as contained in Home Office circular 14/2003. Equivalent arrangements will need to be in place for the operation of the PDR element of this package for Scotland and Northern Ireland.
Other Matters
7. This agreement is for three years until 31st August 2006, and will be underpinned by the continuing operation of the pay indexation arrangements applied to the rest of the police service.
8. Superintendents promoted from the maximum of their pay scale will start on the second point of the Chief Superintendents' scale, if in receipt of the performance related bonus at their most recent PDR while on the maximum of the Superintendents' scale.
9. The Special Priority Payment scheme incorporated in the Police Pay and Conditions agreement of 9 May 2002 will no longer apply to Superintending Ranks. Otherwise, the provisions of that agreement, insofar as they relate to all ranks, will continue to apply to the Superintending ranks. In particular, the arrangements for bonus payments in respect of occasional work of an outstandingly unpleasant, demanding or important nature (para 3.4 of that agreement) will continue to be applicable to the Superintending ranks.
ANNEX B
POST-RELATED ALLOWANCES FOR CHIEF SUPERINTENDENTS
From April 2004 the very largest Chief Superintendent jobs will attract a Post-Related Allowance (PRA) of £5,001 a year (non-pensionable).
It will be for the chief constable, following consultation with the local branch of the Superintendents' Association and in agreement with the police authority, to identify these posts.
No force quota is proposed, but it is envisaged that, nationally, about 15% of Chief Superintendent posts will attract PRA.
Indicative Criteria
Ø The most demanding BCU commander jobs, with exceptionally difficult policing conditions, high public profile, and particularly complex community relationships
Ø Other very demanding posts, including those dealing with high volumes of serious crime, high levels of deprivation and difficult conflict in community and partnership working.
These are not prescriptive criteria, they are indications only.
Acting-up
The PRA will not be paid to anyone acting up, under Annex I of the determinations under the Police Regulatons 2003, in the absence of a post-holder entitled to a PRA.
Health and Safety Consideration
It is in the interests of both the force and the individuals concerned that officers should not serve too long in particularly demanding or stressful jobs. It is part of management's health and safety responsibilities to ensure that appropriate procedures are in operation whereby these matters are periodically reviewed in this context in relation to individual postholders.