Human Resources - Discharge of probationer under Regulation 13 protocol (L1180)

1.0 Summary of changes

1.1 The following amendments have been made to this protocol

1.2 On 2 September 2026 to reflect changes in process:

• 3.5 Commencement of stage one formal meeting amended
• 3.6 Stage one Regulation 13 formal meeting amended
• 3.8 Stage one formal meeting outcomes amended
• 3.9 added.

2.0 What this protocol is about

2.1 This protocol applies to police constables within their probationary period. For direct entry superintendents, inspectors and re-joiner members and special constables, an adjusted process should be used in conjunction with Police Regulations and the amended determinations from May 2025.

2.2 The protocol aims to:

• set out a framework to enable supervisors and line managers to act fairly and consistently in managing probationary constables with unsatisfactory attendance, performance or conduct
• provide guidance on managing these concerns for existing entry routes and new entry routes, including the Police Constable Degree Apprenticeship (PCDA), Degree Holder Entry Programme (DHEP), Police Constable Entry Programme (PCEP) and Police Now
• provide detail on how such issues should be dealt with in conjunction with higher education institute (HEI) partners
• provide details of the range of action that may be taken whereby attendance, performance or conduct is a cause for concern.

2.3 Regulation 13 of the Police Regulations 2003 deals with the discharge of a police probationer. It states, “subject to the provisions of this regulation, during their period of probation in the force the services of a constable [DE inspector, DE superintendent, re-joiner member or special constable] may be dispensed with at any time if the Chief Officer considers that they are not fitted, physically or mentally, to perform the duties of their office, or that they are not likely to be an efficient or well conducted constable [DE inspector, DE superintendent, re-joiner member or special constable]”.

2.4 It should be noted that where the discharge of a probationer is being considered in relation to misconduct and an alleged breach of the standards of professional behaviour (S of PB), reference should be made to The Police (Conduct) Regulations 2020, the Police (Complaints & Misconduct) Regulations 2020 and the Home Office Guidance on Police Officer Misconduct, Unsatisfactory Performance and Attendance Management Procedures 2020.

2.5 It is important that the correct process is followed for all cases that are being considered for Regulation 13 discharge, in most cases this would start with the informal process. There may be cases that are addressed informally by appropriate management interventions and where there is still unsatisfactory improvement, it is appropriate to refer the case for consideration to the stage one formal meeting, without progressing through the full informal stage.

2.6 This protocol will create this consistency in approach. Each case is considered on its own merit to determine the most appropriate action. This approach will enable a fair process and ensure that each force meets their equality obligations.

Compliance with this protocol and any governing policy is mandatory. This protocol is not, nor is it intended to be, contractual. However, the Head of Learning and Development or appropriate SLT member may exercise discretion to consider reasonable exceptions to this protocol, on a case-by-case basis where clear rationale is provided.

3.0 Detail the protocol

3.1 It is recognised that probationer constables will be undertaking one of the following: the Police Constable Entry Programme (PCEP), the Police Constable Degree Apprenticeship (PCDA) or the Degree Holder Entry Programme (DHEP). The PCDA and DHEP programmes are delivered in conjunction with our Higher Education Institute (HEI) Provider. This protocol incorporates the regulation 13 process within all routes to becoming a fully competent police constable. Where officers are part of the PCDA or DHEP qualifications, tutors/staff from the HEI provider may be required to provide evidence for the regulation 13 process, in conjunction with an individual from the respective force.

3.1.1 All probationary constables are required to comply with the Code of Ethics (C of E) and Standards of Professional Behaviour (S of PB) and the Competency and Values Framework.

3.1.2 The PCDA and DHEP programmes are integrated programmes and performance includes the successful achievement of academic objectives as well as operational learning. This protocol should be read in conjunction with programme information to ensure that expectations are fully understood.

3.1.3 Probationary constables that joined under PCDA and DHEP routes are expected to have completed the knowledge and operational competencies in line with the relevant programme assessment criteria. All evidence will be assessed and verified in compliance with the relevant assessment centre.

3.1.4 Probationary periods may differ depending on the entry route: PCDA Officers have a probationary period of 3 years, DHEP and PCEP officers have a probationary period of 2 years. Probationary periods for DE superintendents and DE inspectors is 2 years, and the probationary period for re-joiners will depend on the length of the break in service before re-joining.

3.1.5 It is the responsibility of all officers, staff and HEI representatives involved in the development and supervision of probationary constables (and DE superintendents, DR inspectors and re-joiners) to identify concerns with their attendance, performance and/or conduct and overall progress, as soon as possible. Support should be offered at the earliest possible stage to enable to the officer to reach the required standard.

3.1.6 During an officer’s probationary period, where the performance of a probationary constable is considered unsatisfactory after receiving support from the respective force (and HEI if appropriate) this will be managed under the regulation 13 process. It is the responsibility of the line manager to support the officer at each stage of the process.

3.1.7 Officers who are unable to meet the requirements of their entry programme will be assessed to transfer between entry routes, where appropriate, on a case by case basis.

3.2 Conduct

3.2.1 Paragraphs 4.87 to 4.89 of the Home Office Guidance on Police Officer Misconduct, Unsatisfactory Performance and Attendance Management Procedures 2020 states:

“The Chief Officer has discretion whether to use the disciplinary procedures or the procedures set out at regulation 13 of the Police Regulations 2003 (Discharge of probationer) as the most appropriate means of dealing with a misconduct matter.

Particular consideration should be given to allegations of gross misconduct which ordinarily should be subject to disciplinary proceedings rather than the regulation 13 route. However, where allegations of misconduct (rather than gross misconduct) are made, the chief officer may instead consider whether the circumstances of the matter merit consideration under regulation 13 rather than under misconduct procedures. In exercising this discretion, due regard should be had to whether the student police officer admits to the conduct or not. Where the misconduct in question is not admitted by the student police officer then, in most, if not all cases the matter will fall to be determined under the misconduct procedures.”

3.2.2 Reference should also be made to the case of Kay (R, on application of) v Chief constable of Northumbria Police [2010] EWHC 31 (Admin). Paragraph 38 of the judgement states: “the test for determining if a case against a probationary police officer should be determined under regulation 13 or under the Conduct Regulations is whether there is such conflict over the facts relating to the misconduct relied on with the consequence that it would be unfair for the chief constable to make the judgement he did on the basis of the undisputed primary facts rather than giving the probationary police officer the protection to which he or she was entitled under the Conduct Regulations.”

3.2.3 The head of Professional Standards or designated deputy must be consulted in relation to any case where the discharge of a police probationer is being considered in relation to misconduct and they would determine a view of the allegations and establish next steps.

3.2.4 Where the head of Professional Standards or designated deputy has determined that the matter reaches the conduct threshold and to use regulation 13, the formal process should be followed, holding a first meeting as set out below.

3.2.5 Where the head of Professional Standards or designated deputy has determined that the matter does not reach the conduct threshold, but it is recommended that regulation 13 is used, the formal process should be followed, holding a first meeting as set out below. The Chair of the meeting may determine that an action plan and review period is appropriate, or they may decide to refer the probationary constable to the chief constable for a regulation 13 Discharge.

3.3 Regulation 12 of the Police (Amendment) Regulations 2003

3.3.1 Regulation 12 of the Police  Regulations 2003 have been amended under the Police (Conduct, Performance and Complaints and Misconduct) (Amendment) Regulations 2025 as follows:

A member of a police force other than a rejoiner member –

• appointed in the rank of constable, other than such a member who transferred to the force from another force having completed the require period of probation therein
• in the case of a DE inspector, appointed in the rank of inspector
• in the case of a DE superintendent, appointed in the rank of superintendent
• a special constable

must be on probation for such period as the Secretary of State must determine in respect of such appointments. 

3.3.2 The line manager will need to submit a report via the L & D inspector (or PSE equivalent) for consideration of an extension of the officer’s probationary period setting out the expected timescale for the required improvement to be achieved.

3.3.3 The decision by a Chief Officer to extend a probationary period may be delegated to the chief superintendent, Head of L&D or designated deputy in their absence. Any requests for an extension would need to be properly set out with the appropriate rationale and would need to be submitted, approved and confirmed in writing to the officer, before the end of the relevant probationary period.

3.4 Informal stage

3.4.1 Unsatisfactory attendance and performance matters are managed by the line manager and conduct matters in conjunction with PSD.

3.4.2 Where a line manager or tutor identifies that a probationary constable is not making satisfactory progress, this should be dealt with as soon as the concerns arise. It may be appropriate to manage this by providing verbal feedback initially, giving the agreed support and advice, this will be documented accordingly.

3.4.3 It may be appropriate to address concerns by giving the officer a supportive development plan or attendance plan setting out what improvement is required, the timescales to achieve this and what support will be provided during the supportive plan. PIU will provide support and advice to the line manager.

3.4.4 Consideration should be given to making reasonable adjustments, in accordance with the Equality Act 2010, where an officer has or is believed to have a disability. It may be the case that making reasonable adjustments will result in improved performance and/or attendance. The Equality Act 2010 gives the following definition: ‘a person has a disability if the person has a physical or mental impairment and the impairment has a substantial and long-term adverse effect on the person’s ability to carry out normal day to day activities.

3.4.5 Once all supportive measures have been put in place and reviewed and there is insufficient progress and/or the requirements of an informal supportive plan have not been met, then the line manager will refer the case for consideration by the L & D Inspector (or PSE equivalent) to progress the case to the formal stage.

3.4.6 If supported by the L & D inspector (or PSE equivalent), a summary of the case is submitted to: L&D SLT for review to consider whether the case is suitable to proceed with the formal regulation 13 process. Advice may be sought from a HR representative.

3.4.7 If it is considered that the officer should be offered further support before proceeding with the formal regulation 13 process, or if further enquiries are required, this will be fed back via L&D. A full rationale and audit of this decision will be retained.

3.4.8 Where a decision is made to proceed with the formal regulation 13 process, the probationary constable will be served with a formal letter setting out the reasons for the meeting along with the disclosure pack detailing all of the evidence the force will rely on at the meeting. The probationary constable will be encouraged to seek advice from a Police Federation Representative and/or workplace colleague. The probationary constable will be asked to submit a written response, within 15 working days, following the service of the disclosure pack. The meeting will take place no earlier than 5 working days after the 15 working day deadline.

3.4.9 The standards of proof to be used at all meetings is the balance of probability, as with all conduct, performance and attendance matters.

3.4.10 Following the decision to proceed to the formal process, the serving of the disclosure pack and the request for the probationary constable to provide a written response, L&D SLT will review all of the relevant information once the written response has been received. Advice may be sought from a HR representative. 

3.4.11 L&D SLT will review the written response and decide whether to progress to the formal regulation stage 1 meeting.

If it is considered that the officer requires further development prior to commencing the formal stage of the meeting, by way of a development/attendance plan, this will be fed back to the officer.

3.5  Commencement of stage one – Formal meeting

3.5.1 Where a decision is made to proceed to the formal regulation 13 process, stage one of the process starts as soon as the probationary constable is served with a formal letter setting out the reasons for progressing to the regulation 13 process, along with the disclosure pack detailing all the evidence the force will rely on.

3.5.2 The probationary constable will be signposted to seek advice from a Police Federation Representative and / or workplace colleague.

3.5.3 The probationary constable will be asked to submit a written response within 15 working days, as a maximum, following service of the disclosure pack.

3.5.4 Following receipt of the written response, or after the 15-working-day deadline has passed, the SLT member will then determine the most appropriate next step, which may include:

• stage one formal meeting
• referral to a stage two hearing with the chief constable or delegated authority for consideration
• a supportive plan, which may include one or more of the following:
  • a development plan
  • an attendance plan
  • a further period of initial training
• no further action as the information presented does not meet the threshold for referral for consideration of regulation 13 discharge.

3.5.5 Where a development plan and / or attendance plan is issued, it will be provided to the probationary constable in writing. The plan will be set for an appropriate timescale to give the probationary constable the opportunity to demonstrate sufficient improvement. A rationale for the timescale and supportive measures will be provided.

3.5.6 The probationary constable will also be notified in writing that, if they do not successfully complete any supportive plan, their service may be at risk, and the matter may be referred to a stage two hearing with the chief constable or delegated authority.   

3.5.7 The standard of proof to be applied at stage one and stage two is the balance of probabilities. Each case will be considered on its own merits, in line with conduct, performance and attendance matters.

3.6. Stage one – formal regulation 13 meeting

3.6.1 A stage one formal meeting will only be arranged where the L & D SLT member determines that a meeting is required. The purpose of the meeting is for the Chair to explore and clarify the information presented by management and by the probationary constable and / or their representative, where the Chair considers this necessary.

3.6.2 Where this decision is made, the meeting will be arranged as follows:

• the meeting will be chaired by a designated L & D SLT member
• an HR representative will attend to provide advice and support
• the probationary constable will be notified in writing of the date of the meeting. This will be no earlier than 5 working days after receiving the probationary constable’s written response or the deadline for submitting a written response, whichever comes first
• the probationary constable will have been served with the disclosure pack and given the opportunity to submit a written response before the meeting is arranged
• the probationary constable will be asked if they require any reasonable adjustments for the meeting
• the probationary constable may attend with a Police Federation representative or a workplace colleague
• the LPA/division or department will be represented, where appropriate, this may include the probationary constable’s line manager

3.7 Stage One meeting procedure

3.7.1 The Chair of the meeting will open the meeting, introduce those present and outline the reasons why the meeting has been arranged. The Chair will explain that the meeting will be recorded to ensure there is an accurate record, which can be made available upon request. The probationary constable’s rights will also be explained, including the right to representation and the opportunity to present their case.

3.7.2 The L& D Inspector (or PSE Equivalent) will present the management case, detailing the performance, attendance and/or conduct issues together with the supportive action already taken.  

3.7.3 The probationary constable and / or their representative will be given the opportunity to respond, provide any additional information or mitigation, and address the information presented by management.

3.7.4 The Chair may ask questions of anyone attending the meeting to clarify information and ensure they have sufficient information to reach a decision. The HR representative may also ask questions to clarify any information.

3.7.5 The presenting officer and the probationary constable (or representative) will sum up their respective positions at the end of the meeting.

3.7.6 The meeting will be adjourned whilst the Chair decides what action is appropriate. The meeting will be reconvened for the Chair to give their decision. The outcome of the meeting will be confirmed in writing within 5 working days. 

3.8 Stage one formal meeting outcomes 

3.8.1 The following outcomes are available:

• referral straight to a stage two hearing with the chief constable or delegated authority for consideration
• a supportive plan, which may include one or more of the following:
  • a development plan
  • an attendance plan
  • a further period of initial training
  • no further action as the information presented does not mee the threshold for referral for consideration of regulation 13 discharge

3.8.2 Where a development plan and / or attendance plan is issued, it will be provided to the probationary constable in writing. The plan will be set for an appropriate timescale to give the probationary constable the opportunity to demonstrate sufficient improvement. A rationale for the timescale and supportive measures will be provided.

3.8.3 The probationary constable will also be notified in writing that, if they do not successfully complete any supportive plan, their service may be at risk, and the matter may be referred to a stage two hearing with the chief constable or delegated authority. 

3.8.4 When a supportive plan is issued, an L & D SLT member will review the progress made during the plan. If the plan is achieved, the probationary constable will receive a letter confirming the achievement of the plan and that they will no longer be managed under regulation 13 proceedings and will continue in their probationary period. 

3.8.5 If the plan is not achieved, an L & D SLT member will conduct a review to consider whether the probationary constable has met the objectives set within the plan and demonstrated the required improvement. The SLT member may decide that a further stage one meeting is required to discuss any mitigation and consider whether an extension is appropriate.

3.8.6 Where the supportive plan has not been achieved and an extension is not considered appropriate, the matter may be referred to a stage two hearing with the chief constable or delegated authority for consideration of regulation 13 discharge

3.9 Stage two - Formal regulation 13 hearing

3.9.1 Once a probationary constable has been recommended for discharge under regulation 13, the following process will apply:

• the probationary constable will be notified of the recommendation to discharge under regulation 13 by the designated SLT member of L & D in writing.
• the probationary constable will be served with full disclosure of the information to be used in the regulation 13 hearing.
• they will be advised to seek guidance from the Police Federation.
• the probationary constable will be asked to attend a regulation 13 hearing with the chief constable or delegated authority, with 10 working days’ notice.
• the probationary constable will be asked if they require any reasonable adjustments for the hearing;
• the chief constable may delegate their functions to a senior officer (Chief Officer level), or former senior officer who last served in the rank no more than five years before the date of the hearing, or a police staff member of a similar level of seniority. This doesn’t apply to the function of dispensing with the services of a re-joiner member who is a senior officer.
• the probationary constable has the right to be accompanied by a Police Federation Representative or a workplace colleague.
• notice of this hearing will be given in writing. The probationary constable must be informed that their service as a police officer is at risk and that they may be dismissed as a result of the hearing.
• if the probationer constable does not wish to attend the regulation 13 hearing, they will be asked to submit their written response. This will be considered alongside all of the documentation that will be reviewed by the chief constable (or delegated authority).

3.9.2 The regulation 13 hearing procedure will be as follows:

• the chief constable (or delegated authority) will chair the hearing and a HR representative will be in attendance to advise them.
• the chief constable (or delegated authority) will state the reason for the hearing.
• the designated SLT member of L&D will present the management case.
• the probationary constable or their representative will present their case.
• any witnesses presented by management or the probationer constable will be subject to questions from management, the probationary constable and the chief constable (or delegated authority).
• on conclusion, management will summarise their case and the probationary constable or their representative will summarise their case. The chief constable (or delegated authority) will adjourn the hearing to consider the merits of the case.
• the hearing will be reconvened, and the chief constable (or delegated authority) will give their decision. If the decision is to discharge, the opportunity to resign will be offered to the probationary constable.
• if the probationary constable’ is discharged or they take the opportunity to resign, they will receive one month’s notice or pay in lieu of notice.
• the chief constable (or delegated authority) will make their decision and confirm it in writing within 5 working days.

3.9.3 The possible outcomes of the stage two hearing are as follows:

• the chief constable (or delegated authority) will make a decision that the probationary constable is not fitted, physically or mentally to perform the duties of their office, or that they are not likely to be an efficient or well conducted constable and will therefore discharge the probationary constable, giving them the opportunity to resign
• the chief constable (or delegated authority) will make a decision that based on the information presented by the management, a supportive plan may benefit the probationary constable, it may also be necessary for an extension of probation to allow for the supportive plan to be completed and the regulation 13 process to be concluded. The case will be referred back to the designated SLT member of L & D for review prior to any further regulation 13 hearing
• the chief constable (or delegated authority) may decide to consider the opportunity and assessment for an identified police staff role for the probationary constable, following the decision to discharge them. The probationary constable will be supported by L and D and HR in seeking a suitable police staff role. However, if a role is not secured during their notice period, the probationary constable’s service will end.

3.9.4 There is no right of appeal under the regulations. Throughout the process there are robust checks and balances in place to ensure the probationary constable is given every opportunity to take advice from the Police Federation and support groups and to present their views.

4.0 Equality Impact Assessment (EIA)

4.1 An Equality Impact Assessment has been carried out and shows the proposals in this protocol would have low potential or actual differential impact on grounds of age, sex, disability, race, religion or belief, marriage and civil partnership, sexual orientation, gender reassignment and pregnancy and maternity.

4.2 EIA - January 2026.

5.0 Risk Assessment

5.1 There is no specific risk assessment or health and safety consideration thought relevant to the content of this protocol.

5.2 Officers and staff engaged within the process must remain aware that they must follow the protocol correctly otherwise the risk to the organisation of a possible employment could be raised. A failure to fully adopt the principles set out in this protocol could have a detrimental effect upon the reputation of the organisation.

6.0 Consultation

6.1 The following have been consulted during the formulation of this document:

• Essex Police College / Kent Police College
• Police Federation Essex / Kent
• Essex / Kent LPA/Divisional Chief Superintendents
• PSD Superintendent Essex / Head of PSD Kent
• Essex Strategic Change Team
• Essex Policy
• Essex Risk
• Essex Diversity and Inclusion Team
• Health & Safety
• Head of Operational Change
• PSD D/Superintendent
• Superintendents Association
• Strategic Force Crime & Incident Registrar
• DPO/Temp Head of Info Management
• Head of Operational HR
• Essex Support Network Chairs and Vice Chairs
• Specials Command Essex
• Essex Diversity and Inclusion Team
• Head of Continuous Improvement
• Head of the Control Centre
• Essex Superintendents Association
• Essex CMC
• HR Partners,
• CRU,
• Kent Minority Ethnic Police Association
• Additional consultation has taken place with Essex LPA Chief Superintendents regarding the Head of L&D/Deputy chairing all Case Conferences

7.0 Monitoring and review

7.1 This protocol will be reviewed every two years by or on behalf of the owner.

8.0 Governing force policy

8.1 This HR protocol supports the overarching HR policy L1.

8.2 Data Security

8.2.1 Essex Police and Kent Police have measures in place to protect the security of your data in accordance with our Information Management Policy – W 1000 Policy – Information Management.

8.3 Retention and disposal of records

8.3.1 Essex Police and Kent Police will hold data in accordance with our Records Review, Retention & Disposal Policy – W 1012 Procedure/SOP - Records Review, Retention and Disposal.

8.3.2 We will only hold data for as long as necessary for the purposes for which we collected.

9.0 Other source documents

9.1 Regulation 13 Process flow chart

9.2 Police (Conduct) Regulations 2020

9.3 Police (Complaints and Misconduct) Regulations 2020

9.4 Police (Conduct, Performance and Complaints and Misconduct) (Amendments) Regulations 2025

9.5 Home Office Guidance – Conduct, Efficiency and Effectiveness: Statutory Guidance on Professional Standards, Performance and Integrity in Policing 5 February 2020.

9.6  Code of Ethics and Standards of Professional Behaviour documents

9.7 Making an Occupational Health referral

9.8 The Employee Assistance Programme

9.9 Healthy You Hub Reasonable Adjustments

9.10 Standards of Professional Behaviour