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Dumfries and Galloway Constabulary Primary Inspection 2002

3. People Management

Human Resources

3.1 Dumfries and Galloway Personnel and Training Department is headed by a member of support staff who is responsible to the Superintendent Corporate Services. The Personnel and Training Department comprises seven sections including Personnel Services which deals with recruitment, transfer and conditions of service for all police officers, special constables and force support staff. The Force Training Unit is responsible for research and delivery of all theoretical and practical force training including public order and officer safety training. The force now has a Diversity Unit which is currently staffed by one sergeant. The Personnel and Training Department also incorporates the Career Development Unit which is responsible for the staff development of police, support staff and special constables.

3.2 The force considers the level of civilianisation within the units appropriate to provide an effective mix of police officer and support staff posts and balance continuity and expertise with the operational awareness of police officers. The department moved at one point to reduce the number of police officer trainers and employed support staff to provide Officer Safety Training and assist with probationer training. This was found to be ineffective as operational experience was identified as being relevant to training on front line policing issues. The HR function is centralised but both Divisional Support Managers have been funded to study the CIPD Certificate in Personnel Practice in order to raise their awareness.

3.3 The Personnel and Training Department has no integrated functional strategy. There are no departmental performance indicators although there is a related strategic action in the force Policing Plan from 1st April 2001 to:

"Provide all staff with an equal opportunity to learn and develop".

3.4 The targets in respect of this action are firstly to meet the Investors in People Standard which has been achieved in that the force has recently retained the Investors in People award. HMIC acknowledges the high standard which must be attained in order to achieve and retain this award and considers the pursuit of IiP recognition as good practice. A second target is the meeting of 90% of relevant supported requests on staff development plans. The Career Development Unit does not have a Unit Action Plan and operates to the list of functions shown in the Annual Report. As a result there are no Unit performance indicators. In the year 2000/2001 included amongst force goals was the achievement of 100% of supported requests on staff development. The current Public Performance Report makes reference to training days attended. Many of these training days are connected with forcewide training programmes such as Officer Safety Training which do not regularly feature in Personal Development Plan requests. The target with regard to other aspects of personal development such as developmental placements allocated is not being actively pursued nor is there a mechanism to effectively measure success.

3.5 There is also a separate Personnel Services Strategy with a list of key objectives. However this stands in relative isolation and an integrated approach encompassing all Human Resources issues would be beneficial.

3.6 The department is in the process of installing an integrated HR information technology system with controlled levels of access for all staff. The implementation of the system has been delayed due to intranet problems but will provide mechanisms to allow tracking of appraisals and monitoring of minority groups, which is not done at present. The system will administer and cost areas such as absence management and training and will underpin all aspects of day to day departmental operation and long term planning. Progress in this will be of obvious benefit.

Staffing Review

3.7 Dumfries and Galloway Constabulary have conducted a comprehensive staffing review and have altered deployment of staff as a result to assist in the effective use of resources. Force goals refer to the monitoring and evaluation of the staffing review and HMIC will monitor progress at the next review inspection.

Support Staff

3.8 The force is committed to the integration of police and support staff human resources functions and there is now one policy in respect of all staff in respect of Absence Management, Health and Safety, Grievance, Equal Opportunities, Further Education etc. Joint policies are being developed in respect of Professional Standards and Discipline and Family Friendly policies. The Personnel and Training Department operates on behalf of all staff and consideration is being given to the use of the one appraisal system for support staff and police.

3.9 Following inability to agree terms and conditions for support staff at national level Dumfries and Galloway Constabulary are currently in negotiations with the unions in order to develop a force agreement. HMIC met with Union representatives and found that of current concern is the existing situation where support staff employed before November 1998 work a 35 hour week whilst those employed after that date work 37 hours. Union representatives spoke positively of the efforts that have been made to achieve consistency in areas such as support staff time off in lieu rules, which were previously applied differently in different parts of the force. They talked of force efforts to integrate police and support staff, bringing terms and conditions closer where possible. Union membership generally is low, at one third, but this is acknowledged by the force in that non members are invited to quarterly staff meetings so that their voice is heard.

Recruitment

3.10 The Personnel Services Section is responsible for recruitment of all staff. Increases in both male and female police officers have contributed to the overall rise in total numbers and in respect of both police and support staff the rises have been sharper than those seen in respect of other forces. Police strength in 2000/2001 was 478 officers of which 442 were in force and the remainder on central service or posted to Kamp Van Zeist. This figure represents an all time high and reflects the additional policing demands created by the policing of the Lockerbie Trial. The Policing Plan 2001/2004 details estimated retirals in respect of police and support staff and incorporates estimated ill health and other pre 30 year retirals as well as the re-integration of staff from Kamp Van Zeist. This document anticipates the recruitment of nine officers in 2001/2002 and a further nine in 2002/2003 leading to an establishment total at the end of 2003/2004 of 461 officers and 263 support staff. This figure includes those on Central Service and represents a return to previous levels of establishment.

3.11 The proportion of officers in promoted ranks in Dumfries and Galloway Constabulary is 22.2% which is consistent with the Scottish average of 22%. A relatively high proportion of promoted posts at the time of the last primary inspection generated comment and since then the number of Superintendent posts have been reduced from five to four. Looking at ranks in more detail, the following shows the current proportion of Dumfries and Galloway officers at each rank (figures in brackets relating to all Scottish forces.)

Constables 77.8% (78%)
Sergeants 14.6% (13.9%)
Inspectors 4.2% (5.2%)
Chief Inspectors 1.5%(1.5%)
Superintendents 1.5% (1.3%)
ACPOS 0.4%(0.2%)

Equal Opportunities

3.12 The force has an Equal Opportunities Policy and Equal Opportunities Monitoring Group. Women officers account for 4.7% of all promoted ranks in Dumfries and Galloway compared with 6.5% for all Scottish forces. The number of women police officers in Dumfries and Galloway represents a rise on the previous four year average of 28.8% which is second only to that in Northern Constabulary. For the last five years Dumfries and Galloway Constabulary has had the highest percentage of women police officers of all Scottish forces at 19.9% whilst the national average is 17.25%. Of all women officers in the force 5.3% are in promoted posts compared with 8.3% across Scottish forces. Both proportions in Dumfries and Galloway represent a slight downturn compared with previous years.

3.13 At the latest Annual Performance Review 4.3% of sergeants in the force were female, against a national figure of 7.6%. Women officers in Dumfries and Galloway Constabulary accounted for 10% of inspectors against a national average of 3.9%, and there are no women in a rank above Inspector. Two women officers have been promoted to sergeant following recent rounds of the new promotion process.

3.14 While HMIC is satisfied with efforts being made by the force to recruit suitable women officers it is important that the culture within the organisation does not act as an impediment to career development. The promotion of two women from an open process is heartening. However, HMIC was aware of some exclusionary language such as use of male oriented terms and the use of terms such as "civvie" and "turnkey" in preference to correct job titles in some areas. HMIC notes the commitment of the force to National Equal Opportunities Training (NEOTS) which will assist in addressing this.

Diversity Unit

3.15 The newly established Diversity Unit is currently producing an action plan which will include recruiting for diversity, compliance with the Commission for Racial Equality Code of Practice, and auditing of policies in respect of equal opportunities. The Unit will provide advice with regard to equality of opportunity in respect of selection and recruitment and at present the Diversity Officer is also responsible for the administration and delivery of NEOTS training which commenced in Dumfries and Galloway Constabulary on 18th February, 2002. A support staff assistant who was at the time of the inspection being recruited, will in due time take over the role.

3.16 The current Policing Plan includes as a Strategic Action the need to "Recruit and retain a work-force which reflects the diversity of our community." The target in respect of this action is that the staff profile should reflect or exceed the proportion of the minority ethnic population of the area. The current number of black and minority ethnic police officers remains at 1 officer or 0.2%. The Dumfries and Galloway Constabulary Recruiting for Diversity Policy aims towards a target figure of 0.7% of the workforce based on the 1991 census and incorporates an Action Plan.

Acting Ranks

3.17 At the time of the last primary inspection HMIC expressed concern at the number of officers holding acting ranks and recommended that appointments were not made unless a need was clearly identified and appointments were made within a general career development policy. At the time of the primary inspection the numbers of officers in acting ranks was as listed below:

1 acting Chief Superintendent from a total of 2
2 acting Superintendents from a total of 4
3 acting Chief Inspectors from a total of 5
6 acting Inspectors from a total of 20
19 acting sergeants from a total of 68

3.18 Although force policy states that officers should not hold an acting rank for a period of more than six months, HMIC met with officers who had been continuously acting for eighteen months, two and even three years. Some officers who had been holding acting rank for prolonged periods were then unsuccessful in their application for promotion. HMIC conducted an audit of acting sergeants within one division and found that there were six acting sergeants in the division at that time. Two of these were covering abstractions created by Kamp Van Zeist whilst the other four acting posts were created by the regular post holders having been drawn in to Headquarters to work on specific projects. It is acknowledged that in some instances those officers undertaking projects at Headquarters were chosen because of their specific skills related to the task concerned and in some cases were undertaking light duties and therefore unfit for a divisional role.

Staff Retention

3.19 Federation representatives were quick to acknowledge the excellent relationship that existed with Chief Officers and senior management and were satisfied that any genuine concerns raised would be addressed. However broad expressions of concern over retention of mid service constables were raised during the inspection. The annual performance return for 2000/2001 shows that police wastage increased by 40% on the previous four year average. Whilst these percentages are based on small numbers HMIC was aware that the two Divisional Commanders in conjunction with the Head of Corporate Services had investigated and reported on the increased wastage to the Policy Group.

Post Rotation

3.20 Dumfries and Galloway Constabulary have a Post Rotation Policy which does not set specific periods of tenure but allows for general movement of personnel based on Personal Development Plans, generic application for transfer forms, recommendations from the Career Development Unit and discussions at Policy Group Meetings. These discussions are supported by staffing meetings at which Heads of Departments and Divisional Commanders meet to consider requests contained within memoranda from officers and Personal Development Plans. HMIC found instances of movement into specialist posts which had taken place as a result of either an instruction or individuals unofficially approaching senior officers.

3.21 HMIC is aware however of the intention to move towards a more transparent system and noted the recent use of 'Digest', which is a circulation to which staff have access via the force intranet, to make officers aware when posts were to become vacant and allow for the submission of Application for Transfer Forms. At the time of the inspection HMIC noted the use of the intranet to advertise a vacancy in the Crime Management Section and noted that due to the extent of response it was intended to hold interviews. At present however there is inconsistency in that it is the head of section in which a vacancy arises who chooses whether to advertise or interview.

Shift System

3.22 The Third Year Review Inspection of Dumfries and Galloway Constabulary referred to the need for the force executive to dispel misunderstandings regarding the review of shift systems. This has now been overtaken by the bespoke implementation of the 222 shift system which involves two day shifts, two backshifts (usually from late afternoon to late evening) and two nightshifts. This was piloted in Dumfries Division for one year before being implemented force-wide and is being welcomed at this stage by force management and front line staff. An overarching Best Value Review is proposed throughout Scotland addressing shift patterns and Dumfries and Galloway Constabulary intend to review the 222 system in conjunction with the national review. It is early days in the application of the new system and the force has some issues to address such as the shift arrangement worked by CCTV operators. HMIC will look again at shift arrangements at the next review inspection.

Career Development

Staff Appraisal

3.23 One of the main functions of the Career Development Unit is the monitoring and development of the police staff appraisal system and the support staff Employee Development Scheme. In 1997, 25% of police staff appraisals were seriously overdue and some were missed for an entire year. However strict monitoring and follow up systems have greatly improved return rates and staff reported minimal delays in the carrying out of staff appraisal interviews. This was confirmed by a sample audit carried out by HMIC which showed significant improvement in terms of both police and support staff.

3.24 Senior managers have undertaken an exercise in the use of 360º appraisal as part of senior staff development. The force engaged consultants who devised a system involving scoring and comments from peers, managers and subordinates in respect of the criteria relevant to Chief Officer appointments. In conclusion the consultant provided an individual interview and overview assisting in the preparation of an action plan for each officer who took part. Association of Scottish Police Superintendents (ASPS) members spoken to and the minutes of an ASPS meeting show it was seen as a useful means of improving skills. The head of Personnel and Training and her staff are also using 360º appraisal annually. HMIC will be interested to consider the force's assessment of this practice at the next review inspection.

3.25 The Employee Development Scheme was introduced to the force in 1995 and is based on the system in operation in Dumfries and Galloway Council at that time. Support staff interviewed felt that the paperwork associated with the scheme could be more user friendly and many were unhappy that Career Development now receive copies of the whole documentation including the element which reviews past achievements. Many felt that it would now be appropriate to review the Employee Development Scheme processes and documentation.

3.26 Members of support staff and Union representatives interviewed spoke of enhanced opportunities for support staff and were able to provide examples of support staff members who had been provided with force support and encouragement and had achieved additional qualifications or experience which had allowed them to advance within the force. Access to the Further Education Scheme is open to all staff and at the time of the inspection 6 police officers and 10 support staff were attending courses.

3.27 Support staff are able to phone and ask for advice and have access to Career Development Unit interviews. Developmental placements, including placements at Kamp Van Zeist, have been arranged. One external support staff secondment has also been arranged with social services. Whilst not all support staff (including one of the union representatives ) were aware of the system for support staff developmental placements HMIC identified a number of staff who had gained experience from the scheme and HMIC considers this is a positive step towards police and support staff integration. The force is considering a staff rotation policy for support staff and currently advertises internally for support staff posts before advertising externally.

Promotion Policy

3.28 At the time of the last primary inspection HMIC commented that officers had little awareness of how promotion worked within the force and recommended that the force develop a more accountable approach to promotion. As a result the force introduced a police promotion policy and the process was put into effect for the first time in late 1999. This process however created a number of concerns amongst staff and the process was reviewed and amended. The Policing Plan in respect of the period 2000/2001 incorporated an action to "operate open and fair promotion and rotation policies" but the amended process was not put to the test until late 2001 as vacancies for promotion which arose before that time were quite appropriately, filled by candidates who were successful in the process when it was first operated in 1999/2000.

3.29 In July 2001, officers were invited to apply for advancement to Sergeant, Inspector and Chief Inspector. A total of 101 applications were received and it was determined from the outset that the number of successful candidates chosen would amount to 3 candidates for Chief Inspector, 6 for Inspector and 10 candidates for sergeants posts. HMIC interviewed a wide selection of staff including some who had been both successful at interview and subsequently promoted. Each person interviewed expressed criticism of the procedures, a consensus confirmed by the force's own consultation process. Among the concerns expressed were non-availability of criteria for selection, a condoning of non adherence to instructions for completion of application forms, unhelpful debriefing and inconsistent processes across a range of elements of the procedure.

3.30 While HMIC is content that the promotion procedures have identified able officers who will contribute positively to the development of Dumfries and Galloway Constabulary, the force must recognise that the experiences of those who took part will have created negative perceptions, compounded by the anxieties created by the excessive use of acting ranks and the inconsistent process for appointment to specialist posts. The force must address these issues in order to counter the negative perceptions which have been created. HMIC notes that the force is committed to reviewing the promotion process and welcomes the current review as an opportunity to devise a system which provides consistency, aligned to pre determined criteria throughout, presenting evidence and constructive feedback to those who are unsuccessful. The force may wish to consider ensuring that all staff involved in conducting selection interviews have been adequately trained for the purpose.

Absence Management

3.31 The Personnel Section holds the absence management portfolio under the line management of the Personnel Officer and Head of Personnel and Training. With only 700 staff it is felt that the management of absence can be done centrally and there are no plans to devolve responsibility to divisions.

3.32 Absence costs are benchmarked through the Accounts Commission which in 2000/2001 reported that Dumfries and Galloway Constabulary had the second lowest level of absences in Scotland for both police officers and support staff. The average number of days lost per year in respect of police officers across Scotland stood at 10.6 in 2000/2001 whilst in Dumfries and Galloway the average number of days lost per officer was 7.8. In respect of support staff the national average is 11.0 whilst in Dumfries and Galloway Constabulary the working days lost in 2000/2001 equalled 5.9.

3.33 Figures in respect of support staff show a slight decrease over recent years whilst figures in respect of police officers indicate a slight increase compared with previous years. There has been a steep rise however in respect of numbers of instances of self certificated absence per officer in Dumfries and Galloway from an average of less than one instance per officer over the preceding four years to 2.4 periods of sick leave per officer in 2000/2001, which is twice the national average of 1.0. Three police officers retired on medical grounds in 2000/2001, a 16% medical wastage rate which is less than half the Scottish forces average. With regard to injuries on duty the force has been effective in reducing the number of staff reporting injuries on duty from 52 in 2000 to 22 in 2001.

3.34 Interview with the Personnel Officer revealed that no analysis had been done to account for the more than doubling in instances of self-certificated sick leave. Reducing the working time lost through sickness as compared to 1999/2000 was a force priority in respect of 2000/2001 but the slight year on year increase in the overall number of working days lost shows that this target was not achieved. The force does not have a target for absence reduction in respect of 2001/2002. HMIC was concerned that some management were unaware of the doubling of self certificated sickness in the last year. Clearly these trends must be monitored closely with suitable action taken where appropriate.

3.35 Administration and monitoring of absence was for a time addressed by a member of staff temporarily employed specifically for that purpose but the department has struggled to continue to give this area the same attention since the individual left the department in July 2001. The Personnel Officer spoke of an anecdotal awareness of increased absence during school holidays although this aspect of absence had not been specifically analysed. The Information Technology system referred to above will be utilised to provide improved tracking and analysis of absence management data. The force currently provides weekly absence lists for the information of managers.

3.36 The force has an Absence Management Policy which covers all staff. The policy covers the reporting procedure, return to work, monitoring of absence and long term absence. There is a policy/practice gap, however, around return to work interviews in that the policy states that these should take place immediately on return to duty after any absence yet interviews with staff at all levels showed that this was not happening. Staff were all aware of the criteria for formal interviews conducted at the request of the Personnel Section when 4 periods of absence have occurred within 12 months or a cumulative total exceeding 15 days is highlighted but none were aware of the requirement in the policy for informal interviews. The Personnel Section are currently working on a Return to Work Policy in respect of long term absences in order to define those duties which are most appropriate as rehabilitation duties and improve reintegration into the workplace.

3.37 While HMIC recognises the comparatively good sickness absence performance enjoyed by the force, it must always regard this as a high priority and may wish to consider the re-introduction of relevant targets and ensure continual monitoring of absence rates.

The Special Constabulary

3.38 Special Constables as volunteer members of the force drawn from the community are expected to achieve and maintain a level of proficiency which will enable them to assist regular officers in solving local policing problems, and thereby enhance the overall contribution and effectiveness of their local police force.

3.39 The utilisation and deployment of the Special Constabulary in Dumfries and Galloway Constabulary has received specific attention in recent months as the force seeks means by which to improve visibility and effective service. This review has led to improved training and a greater use of the Special Constabulary in enhancing community contact and addressing day to day operational policing issues.

3.40 Recruitment, training and development of policies in respect of special constables is managed by the force Special Constable Liaison Officer who is a constable within the Training Unit. This officer has instigated a review of the Special Constabulary based on a national review carried out by The Association of Chief Police Officers Scotland (ACPOS). The review has resulted in work towards formulation of a policy document containing guidance and information pertinent to the post, which assists regular officers and special constables in fully understanding the role of the special constabulary. It is intended that this document will detail the obligations of special constables in respect of core duties, training, deployment, discipline, etc and the rights, expenses and expectations they in turn are given by the force.

3.41 At the time of the commencement of the review there were 135 special constables but not all were active. This situation has been rationalised and with a concerted recruitment campaign the figures at the time of the primary inspection stood at 96, all of whom are willing to commit to regular duties. Regular spots on local radio, use of local newspapers and a planned open day are being utilised to aid recruitment and a number of special constables who resigned in recent years have now applied to return. The recruitment process currently results in approximately 60% of applicants accepted.

3.42 The number of women special constables has risen by just over a fifth on the previous four year average (up 20.8%) compared with a decline of 7.2% for Scottish forces as a whole. As a result, at 33%, Dumfries and Galloway Constabulary has the highest proportion of women special constables of all Scottish forces where the average is 26.8%. The special constabulary in Dumfries and Galloway currently has 2% of its strength, i.e. one officer, made up from ethnic minority officers. This represents a slight fall from 3%, one officer having resigned to join the armed forces. The review has also identified the need to recognise formally on their retirement the time given up by special constables to serve their community as part of a volunteer police force.

3.43 In order to aid retention of special constables and improve the contribution made by them surveys were conducted to identify areas of perceived weakness in the role and a further survey is planned to take place 12 months from the commencement of the review to test change. Early indications suggest that retention figures have improved.

3.44 Training of special constables was previously non-standardised but a forcewide structured training programme began in March, 2001. The numbers of hours spent training is recorded and monitored electronically and special constables now attend training weekends at the Scottish Police College.

3.45 Front line constables were very supportive and many stated that they rely on special constables and welcome moves to give them more responsibility. Some officers specifically referred to special constables being happier now that they are being utilised more and earning more respect. Special constables interviewed spoke of the change in their status within the force and their ability to make an active contribution to operational policing.

3.46 An example of the drive to increase effectiveness of the volunteer service and promote greater enthusiasm is the initiative which involves two special constables travelling to outlying villages within their beat area for the purpose of carrying out foot patrols. These patrols are being carried out in several areas across the force. Examination by HMIC of documentation submitted by special constables in respect of these patrols shows visible patrol in small rural villages, and several visits to business premises.

3.47 Special constables were supportive of this initiative and most officers spoke highly of it and referred to comments by members of the public who had shown their appreciation at the attention given to their community. This has proven to be of great benefit in respect of the development and morale of the special constables whilst at the same time allowing the force to provide increased high visibility patrols. This feeling of self worth is greatly enhanced when real interest is shown in the duties of special constables by a supervisor. HMIC interviewed a number of special constables who were full of praise for the manner in which their sergeant utilised their time in order to make a positive impact on the community.

3.48 In terms of performance, individuals are now being encouraged to submit a report directly to the Liaison Officer regarding activities or initiatives in which they have become involved. Reports of this type can be included in an operational portfolio which in turn can be used to illustrate the contribution made by the volunteer service to force objectives. They enjoy the renewed commitment and direction the force has shown and gain confidence through structured training and more authority through focussed policies to allow them to take an active role in operational policing.

3.49 HMIC recognises the success achieved in the recruitment and retention of special constables, together with the actions taken to maximise the operational contribution of well trained and equipped special constables, the special constable patrols of outlying villages and the work done to alter perceptions of serving officers. HMIC considers this to be good practice. HMIC will revisit the deployment of special constables as a means of enhancing community contact during the thematic inspection relating to public reassurance and police visibility.

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