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Scottish Criminal Record Office Primary Inspection 2004

3. People management

Staffing Arrangements

3.1 SCRO is currently staffed through a combination of permanent support staff and a smaller number of police officers who are seconded for up to three years from Scottish forces. The overwhelming majority of support staff are located at Pacific Quay, Glasgow, and employed on behalf of SCRO by the Strathclyde Joint Police Board.

3.2 Staffing levels are determined by the service provision of the organisation, which in turn is based on meeting business objectives and customer requirements. The levels are reviewed each year at the time of annual budget preparation but are also subject to change during the year as required by altered customer requirements or service provision. Strathclyde Joint Police Board has given delegated authority to the Director to recruit additional staff to meet such needs, if necessary, in advance of Board approval. SCRO also utilises agency staff to meet fluctuations in workload and HMIC notes the use of this approach in tackling the demands of Disclosure Scotland. Police officers seconded to SCRO remain members of their own force during their tenure with salary and expenses of the officers recharged by the respective force. All recruitment is managed within the approved total annual budget.

3.3 An analysis of the permanent staff (support staff and seconded police officers) in post on 31 July 2004 is shown below:

Table B: Permanent SCRO Staff

3.4 In addition to the above, members of the SFS are located at its Aberdeen, Dundee and Edinburgh bureaux. Although structurally aligned within the SFS, these staff are, on an interim basis, governed by employment conditions applicable to the force where they are deployed. Funding arrangements for SFS members outwith Pacific Quay are addressed at paragraph 5.9.

3.5 Until 2001, SCRO was wholly dependent on Strathclyde Police for the provision of personnel services. However, the plan to place SCRO as a body within new common police services arrangements with the provision for direct employment, enabled the development of dedicated human resource management. In June 2001, SCRO recruited a Personnel Officer to provide in-house support to management and staff and in November that year a computerised personnel, time and attendance system was introduced for employees at Pacific Quay.

3.6 There are four staff dedicated to human resource activities within SCRO. The team consists of a Personnel Manager, Personnel Assistant, Administrative Officer and Clerical Assistant with administration of the computerised personnel system being undertaken by the Business Support Bureau. In-house human resource management functions now include:

• recruitment activities up to final vetting and issue of offer letters
• absence management
• management of training needs, including Personal Development Review (PDR) process
• diversity policy and strategy including equal opportunities monitoring
• trades union consultation
• development of policies and procedures applicable to the needs of SCRO's business (such policies adhere to the spirit of the policies applied by Strathclyde Police but are altered where necessary to meet the specific requirements of SCRO)
• representation at national committees concerning HR.

3.7 Policy in human resource management is being developed by the HR Sub group of the CPS Programme Board. HMIC notes that SCRO intends to progress further its level of independent human resource management over the next 6 months and looks forward to reviewing developments in this area during the review inspection.

Recruitment and Selection

Support Staff

3.8 All vacancies at Pacific Quay are advertised either internally or both internally and externally depending on the nature of the post. Internal adverts are extended to Strathclyde Police and are published in the weekly Jobs Bulletin produced by that force. Examples of posts that may only be advertised internally are those that require specialist knowledge of a certain part of the business. External recruitment is generally by newspaper advertisement with publications dependent on the vacant post, with some advertised nationally and on internet recruitment sites.

3.9 Following completion of the interview process, all paperwork is returned to Business Support for verification. Responsibility for issuing offer letters outlining terms and conditions of employment currently lies with the respective employer. In the case of SCRO support staff at Pacific Quay this is Strathclyde Joint Police Board. For SFS members based at Aberdeen, Edinburgh and Dundee this is Grampian, Lothian and Borders or Tayside police authorities. The appropriate employer undertakes final vetting checks prior to a new member of staff commencing employment with SCRO.

Police Officers

3.10 All Scottish forces are notified in writing of secondment opportunities for police officer posts and SCRO is dependent on their continued support in this regard. All applicants who are supported by their chief constables are interviewed and appointment is based on evidence provided by the candidate to satisfy the relevant criteria for the role. Successful applicants are seconded to SCRO but remain members of their home force.

Training

3.11 All new support staff recruited to SCRO in Glasgow attend an induction course held by Strathclyde Police. This includes briefings on data protection, health and safety, manual handling, equal opportunities, customer care, pension, trade union membership and recreational facilities. An SCRO induction programme, tailored to the specific post, is undertaken at Pacific Quay. For non-managerial posts within the SFS in Aberdeen, Dundee and Tayside induction training is undertaken within the respective home force.

3.12 Ongoing training needs are identified either via the PDR process (paragraph 3.13), or may be dependent upon the technical nature of roles where specific professional training is provided. Examples of this include trainee fingerprint officers attending modular training at the National Training Centre, Durham. A training database is being developed, scheduled for implementation in March 2005, which is capable of producing a training needs analysis and identifying the requirements of staff and the organisation. This is an important development for support staff and police officers alike, and HMIC will examine its effectiveness at the review inspection.

Staff Appraisal and Development

Support Staff

3.13 SCRO undertakes an annual PDR for support staff. The process provides an opportunity for discussion of the contribution made by each member of staff to the achievement of organisational and departmental goals and gives a platform for improvement over the coming year. To assist in the discussion, a role requirement form is completed by each member of staff in conjunction with their manager. The key function of the PDR process is to focus on training and development of the individual. Together with the ongoing training needs analysis which identifies the essential, desirable and other training required for a post, this ensures that SCRO is aware of the development needs of each individual member of staff.

3.14 Procedures in respect of the PDR are currently only applicable within Pacific Quay, although work is ongoing to link fingerprint staff from Aberdeen, Dundee and Edinburgh into the process. Responsibility for conducting PDRs lies with line managers. When completed, the PDR is returned to Business Support where a spreadsheet is updated. HMIC is aware that Business Support is currently designing a system that will trigger the request for completion of a PDR. This request would be issued along with the necessary paperwork to the line manager. Business Support is responsible for monitoring this and ensuring prompt return.

3.15 Recognition of exceptional performance can be documented by the line manager, supervisor or head of bureau creating a formal performance review note. This is usually submitted for the attention of the Director/Deputy Director and placed in the employee's personal file. The employee is made aware of this and commended for his or her performance.

3.16 The procedure for managing poor performance by an individual in terms of his or her work is dealt with in accordance with the force support staff disciplinary procedures that apply to employees through their relevant employer. In the case of SCRO support staff at Pacific Quay, this is Strathclyde Joint Police Board. In the case of SFS staff based at Aberdeen, Dundee and Edinburgh this is Grampian, Tayside or Lothian and Borders police authorities.

Police Officers

3.17 The appraisal system used for SCRO police officers is adopted from the relevant home force of the officer. This varies across Scottish forces, with some focusing on training and development needs and others on competency frameworks. This disparate police appraisal system raises issues within SCRO, where the linking of individual performance to the wider aims and targets of SCRO and identification of training and development needs is dependent upon the particular system used by a seconded officer's force. HMIC is aware that ACPOS is working on the development of an appraisal system for use by all Scottish forces and recognises the benefits that a single system will bring to SCRO and other agencies which second police officers from across Scotland.

3.18 During the period of their secondments, police officers are encouraged to maintain links with their respective forces and have a point of contact there, usually a personnel department officer. SCRO has recently developed its intranet site and intends to create electronic links to force intranets for seconded police staff. HMIC considers this a worthwhile development to keep officers sighted on changes and developments within their respective forces whilst on secondment. In view of the potential applicability of this to staff seconded to other common services, HMIC will be pleased to see what progress has been made at the review inspection.

Career Development

3.19 The opportunity to apply for fixed-term secondments or promoted posts is available to support staff within Pacific Quay. Under Strathclyde Joint Police Board arrangements, this includes posts not just within SCRO but also in Strathclyde Police. Permanent posts are held open during secondments but are likely to be back-filled to ensure continuation of service. Unpaid career breaks are also available to staff who meet the required criteria outlined in the conditions of service.

Complaints Procedure

3.20 In October 2004, SCRO published an operating procedure relating to complaints which covers all aspects of the organisation including Disclosure Scotland. This is a welcome development in an area which lacked formal guidance. The procedure covers:

• receipt of complaint
• recording process
• complaint investigation
• monitoring arrangements.

3.21 Importantly, summary information is to be prepared for management consideration in order that any trends can be identified and acted upon. Complaints made against police officers are subject to specific legislation and the procedure takes these into account. In particular, it recognises the role of the officer's home force in complaints investigation and the requirement to refer allegations which infer criminal conduct to the Area Procurator Fiscal.

3.22 A complementary operating procedure for integrity matters was published earlier in the year. This covers collections, testimonials, gifts and hospitality, taking into account the Police (Scotland) Regulations 1976 and the seven 'Principles of Public Life' identified by Lord Nolan
in the Report on Standards in Public Life. HMIC acknowledges the positive development of formal procedures which deal with integrity issues.

Grievance

3.23 SCRO currently operates the Strathclyde Police grievance procedure in respect of SCRO staff who are employed by Strathclyde Joint Police Board. The procedure is designed to ensure that any grievances relating to employment are settled fairly and quickly. Discrete stages have been established which encourage informal resolution with line managers and provide escalation through the local trades union to heads of bureaux and the Deputy Director. If the employee remains dissatisfied with the decisions taken within SCRO, an appeal can be submitted in writing to the Director of Human Resources, Strathclyde Police, requesting a hearing before the Strathclyde Joint Police Board to consider the matter. Awareness of the grievance procedure and confidence in it are reported by SCRO and the UNISON representative to be high. As it has not been invoked since 2002, HMIC considers that it would be appropriate to ensure that staff are regularly reminded of the processes which are in place.

Diversity

3.24 SCRO recognises that the ability to meet diverse needs can be improved by having a workforce that generally reflects the community the organisation serves, and which has the skills and understanding to achieve organisational objectives. It has established a diversity strategy group, which is responsible for policies and issues that relate to diversity and equal opportunity awareness. The group consists of the Deputy Director, heads of bureaux and other key post holders. Responsibility for chairing the group rotates periodically among members. While recognising the desire to mainstream the issue of diversity and share responsibility for its development, HMIC was unclear as to any practical advantages this achieved and, indeed, felt that it undervalued the role.

3.25 SCRO is a member of the ACPOS Race Equality Sub-Group with the Liaison Officer being the current SCRO representative on this committee. Over 75% of support staff have attended the National Equal Opportunities Training Strategy (NEOTS) course run by Strathclyde Police and equal opportunities and diversity training for senior managers is being progressed through the SPC and Strathclyde Police. Seconded police officers undertake the relevant equal opportunities and diversity training requirements of their home force.

3.26 At 30 September 2004, SCRO had 239 permanent staff including police officers and force support staff. Their analysis by gender and ethnicity is shown below.

3.27 As illustrated, the percentage of male employees in a promoted post is more than double that of female employees.

3.28 SCRO aims to have its staff representative of the communities which it serves. It therefore seeks to have 5% of its personnel from the black and minority ethnic community, in recognition of the higher concentration of this group (5.4%) living within the City of Glasgow. The proportion of Glasgow residents who are of working age (16-59 years) and come from a black and minority ethnic background is slightly higher at 5.7%. In reality, the recruitment area for SCRO is wider than the City of Glasgow, with many staff members commuting from adjoining local authority areas and beyond. Specialist publications aimed at the minority ethnic community around Glasgow have been used to advertise vacancies and current staffing levels within SCRO are consistent with the 2% black and minority ethnic population in Scotland. HMIC has examined the composition of this group of employees but, as the number of people involved is small, disaggregated figures have not been reproduced.

Race Equality Scheme

3.29 The Race Relations (Amendment) Act 2000 created a positive duty for the heads of public authorities to eliminate unlawful racial discrimination, promote equality of opportunity and advance good relations between people of different racial groups. The CRE plays an important role in reviewing the arrangements introduced by relevant organisations and HMIC works collaboratively with it during the inspection of police forces and common police services.

3.30 In relation to policing, the duty to produce a Race Equality Scheme and Action Plan applies to the chief constable of each force, but not specifically to the heads of common police services such as SCRO. Notwithstanding this, a decision was taken by SCRO to publish and adhere to a Race Equality Scheme on a voluntary basis. HMIC supports this positive and constructive stance taken by SCRO.

3.31 SCRO's Race Equality Scheme was published in November 2002, with two annual reviews scheduled thereafter and a revised scheme envisaged by August 2005. The scheme itself is well intended, but early consultation with interested parties outside of the organisation, prior to publication, could have resulted in more robust and relevant arrangements. Of particular significance, is the absence of any detailed assessment of community needs and the failure to prioritise services provided by SCRO in terms of their high, medium or low impact on race relations. Issues such as 'Policing Our Communities' are ostensibly covered, although this function is not directly performed by SCRO, while other matters of greater relevance such as naming systems, procurement of goods and services, catering and domestic arrangements for staff are omitted.

3.32 The assessment of community needs is a fundamental tactic, commonly adopted by public bodies and encouraged by the CRE. It can be used to inform the preparation of a detailed action plan to take forward the most relevant issues first, and those with lower priority in a more measured way. In fact, SCRO's scheme does have a 'Commitment Plan' which lists functions, but they have not been prioritised into a timescale for completion.

3.33 The extent to which the scheme is realistic can best be assessed in terms of what has actually been delivered. As an example, the proposed consultation with external service users has not taken place and the results which were to be published in SCRO's Annual Report did not appear. Indeed the commitment to publish information using a range of formats and wide-distribution has clearly not been met, nor could SCRO offer HMIC any reassurance that detailed plans were in place to do so. The scheme refers to SCRO's 'Equality Officer' but, as no such position exists or is planned, it would improve clarity if it indicated that the role is undertaken by the Personnel Manager.

3.34 HMIC accepts that common police services may have neither the resources nor resilience available to large police forces which would enable the Race Equality Scheme to be founded on detailed consultation surveys or accessible in a wide variety of community languages. Nevertheless, an ambitious scheme which is not implemented does no service to either SCRO or the communities it serves. It is clear to HMIC that SCRO's Race Equality Scheme could be significantly improved by engaging in small scale qualitative community consultation, the correct identification and prioritisation of the most relevant functions and the publication of results in jargon-free language. It is recommended that SCRO reviews its Race Equality Scheme, taking account of the issues raised in this Report, and produces a revised Scheme and complementary Action Plan by the scheduled revision date of August 2005.

Recommendation 2
HMIC recommends that SCRO reviews its Race Equality Scheme, taking account of the issues raised in this Report, and produces a revised Scheme and complementary Action Plan by the scheduled revision date of August 2005.

Sickness Absence

3.35 In November 2003, SCRO implemented an attendance management policy which complements the existing Strathclyde Police 'Managing Absence' policy and applies to SCRO employees of Strathclyde Joint Police Board. The main aims of the SCRO attendance management policy are to ensure fairness and consistency in dealing with absence matters and to monitor absence levels. This is with a view to appropriate action being taken and the identification of any health, safety or wellbeing issues.

3.36 The monitoring of sickness absence is handled in a number of ways. Weekly attendance reports are prepared giving details of all absences in the current week. The Business Support Manager and Personnel Assistant review the report and undertake any necessary actions. Bureaux management receive copies of the report for their own area of responsibility, together with a note of any issues identified in the review by the Business Support Manager and Personnel Assistant.

3.37 Monthly statistics are prepared in terms of percentage absence rate, workdays lost and cost of workplace absence. The figures are calculated for the month, year to date, last year to date and previous financial year. The results are published in the monthly 'Managing Our Resources' report which is distributed to the Senior Users' Group. In addition, review meetings take place involving the Director, Deputy Director, Business Support Manager and Head/Deputy Heads of Bureaux. Agreed actions are identified and recorded from the meetings.

3.38 Return to work interviews are held with all staff, irrespective of the length of absence. In addition, staff with four or more absences in any 12-month period have an absence review meeting with their supervisor. The purpose of the latter meeting is to provide assistance and support with the aim of helping the member of staff to improve their attendance to a satisfactory level. The possibility of a management referral to occupational health services may also be discussed at this meeting.

3.39 In cases of short-term, intermittent absences with no underlying health problems a 3-month review period is set. If, after this period the absence is at an acceptable level, the individual's attendance is monitored during the succeeding 6 months. Where no sustained improvement is witnessed, a further monitoring period of 3 months is scheduled. Where no improvement is achieved after this period, consideration may be given to invoking disciplinary procedures.

3.40 Long-term absence is defined as a continuous absence of at least 28 calendar days. This is normally the subject of a long-term absence referral to the Occupational Health and Welfare Unit of Strathclyde Police. Supervisors maintain contact with the member of staff throughout the period of absence and may make home visits where appropriate. This contact enables return to work strategies to be discussed.

3.41 Staff at Pacific Quay have access to the Employee Assistance Programme provided to Strathclyde Police by an external service supplier. The service provides free access to specialist consultants and counsellors 24 hours a day. It does not furnish medical advice but provides information and guidance on different aspects of life, ranging from financial services, family care, legal and consumer rights to work issues. The operator of the programme holds a copy of the terms and conditions of employment and may therefore be able to clarify procedures for members of staff.

3.42 Absence rates for police officers in SCRO are exceptionally low, accounting for only 0.1% of days lost during 2003-04, compared with 5% for Scotland as a whole. The situation is markedly different in relation to support staff where 9.25% of working days were lost to sickness in the same period. This is significantly more that the comparative national figure of 5.5% for support staff. The business areas within SCRO with the highest support staff absence rates were Business Support (12%), Disclosure Scotland (10.3%) and SFS Glasgow Bureau (11.1%). It was encouraging to note that during the first 7 months of 2004-05, absences had fallen significantly in Business Support (1.65%) and Disclosure Scotland (8.1%), while a small improvement was achieved in relation to SFS Glasgow Bureau (10.2%). HMIC would encourage SCRO management to maintain its commitment to improve attendance levels.

Occupational Health

3.43 SCRO staff have access to the Strathclyde Police Occupational Health and Welfare Unit (OHWU). A referral can be requested by the individual or by a line manager. If an individual makes a self-referral, this can be done either through the SCRO Personnel Department or directly by the individual. If the individual chooses to contact OHWU independently, there is no requirement for SCRO to be notified of this. Furthermore, any reports or case notes arising as a result of the meeting or examination are entirely confidential and will not be forwarded for the attention of the SCRO Personnel Department or the line manager. However, if the individual attends OHWU as the result of a management referral, a report detailing any findings and providing recommendations is supplied to SCRO.

3.44 These reports can offer a wide range of recommendations depending on the nature of the absence, illness or injury. Recommendations include workstation assessments, phased return to work programmes and referrals to specialists. All recommendations provided by OHWU are treated on an individual basis by SCRO and are thoroughly analysed by SCRO management, often in conjunction with the line manager and staff member concerned.

3.45 SCRO aims to make all staff aware of the services provided by OHWU. However, support and guidance for all health and welfare issues is also readily available within the organisation and employees are encouraged to utilise this through their line manager, head of bureau or through the SCRO personnel team.

Health and Safety

3.46 SCRO has a formal policy statement in respect of health and safety which outlines a commitment to ensuring, as far as is reasonably practicable, the provision and maintenance of:

'Safe and healthy working conditions, equipment and systems of work for all employees of the organisation; and such resources, information, training and supervision as are needed for these purposes.'

3.47 Responsibility for health and safety within SCRO lies with the Business Support Manager. In addition, each bureau has a nominated health and safety representative who is responsible for ensuring that any matters of concern are drawn to bureau management's attention and as appropriate onward notification to the Business Support Manager. SCRO operates a Health and Safety Committee, which is chaired by the Business Support Manager and attended by bureaux representatives and business support staff. The committee meets on a quarterly basis and minutes of the meetings are made available to all.

3.48 Processes exist within SCRO to record all incidents (accidents, incidents and near-misses), which are forwarded to the Business Support Manager for review and action where appropriate. Incidents are reported to a monthly management committee meeting and to the quarterly Health and Safety Committee for any further action necessary.

3.49 Arrangements are in place with Strathclyde Police Force Safety Unit to receive copies of any updates issued to their employees in respect of the 'Force Health and Safety Manual'. In addition, SCRO subscribes to commercial services to monitor changes in legislation that may impact on the organisation's policies and procedures. Of particular relevance to SCRO are changes which may affect fire safety procedures, workplace health, safety, welfare and display screen equipment regulations. HMIC acknowledges the arrangements which have been introduced for the health and safety of staff within SCRO.

Staff Consultation

3.50 SCRO operates a series of consultation meetings, known as 'One Lunch'. This is an opportunity for the Deputy Director to meet, during a buffet lunch, with a small group of operational staff from an individual business area. Issues raised are summarised in a way that does not overtly attribute comments to individuals and these are circulated to the relevant head of bureau for comment and, where necessary, action. Feedback on issues raised is provided to bureau members at regular monthly meetings and an evaluation process is undertaken. The views expressed to HMIC by staff members about the 'One-Lunch' programme were generally positive, although the programme is currently only operated at Pacific Quay.

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