Probation procedure for professional and research staff

The University’s probation procedure for professional and research staff is designed to ensure that new members of staff are supported during the first months of employment at the University and are afforded opportunities relevant to their post, enabling them to make the transition to becoming an established and fully effective member of a high-performance community.

Staff members play an important part in shaping our world and making our University distinct - we value all contributions. We will enable our staff to flourish by supporting the development of skills and knowledge during employment.

Policy statement

This procedure applies to all non-academic staff groups including Academic Related, Research, Technical, Clerical and Manual.

The length of the probation period is determined by the grade of the post and is set out in the contract and terms and conditions of employment. The probationer’s progress and performance will be reviewed on a regular basis through informal discussions and formal review meetings. Formal review meetings will take place at set intervals and informal discussions will supplement these throughout the period of probation.

The University will continue to offer support and guidance to new employees whilst ensuring that they have a clear understanding of how their role fits into the University's strategy and vision.

Performance, conduct, timekeeping and training needs will be assessed consistently and objectively across all staff groups in accordance with the requirements of the role, which is in turn informed by the job description and person specification.

Responsibilities

Managers responsibilities

Managers have a duty to implement the policy and to make every effort to ensure that all members of staff are supported throughout their probationary period. This must also include any support in the form of reasonable adjustments, for anyone with a disability as defined in the Equality Act 2010. They must ensure that all of the necessary training is available to enable them to perform the role to the best of their ability and that any difficulties are managed in an appropriate manner in accordance with policy.

Probationers responsibilities

Probationers have a responsibility to carry out their role in accordance with the Job Description and with the guidance of the Line Manager. They should ensure that they raise any concerns regarding their ability to carry out their duties with their Line Manager or other support such as HE, EDI or other University support services, at the earliest possible opportunity.

Further information

Induction

Line managers will take responsibility for devising an appropriate local induction programme for all newly appointed members of staff in their area and in addition, new employees will be invited to attend the University welcome event in the weeks following the start of their employment.

The local induction programme should include:

• Familiarisation with the new role, including general and key elements
• Introduction to team members and key contacts internal and external to the department
• Information on how the new role fits within the department structure
• Information on how the departments fits within the University structure
• Requirement to complete the University online mandatory training modules
• Overview of the University vision and values and expected behaviours
• Information on the support available for Research staff

The line manager should also discuss and agree on the performance standards expected of the probationer and highlight the support and guidance that is available throughout the probationary period and beyond.

Objective setting

Normally within 2 weeks from the start date of employment, the line manager will arrange a meeting to discuss and agree on appropriate SMART objectives for the probationary period.

The line manager and probationer will also identify any work-related training and development requirements based on the individual’s needs. Objectives must be relevant to the role and recorded on the Probation form for professional and research staff (Appendix 1).

Reviewing progress

Progress is reviewed through general day-to-day interaction, and regular informal/formal review meetings provide an opportunity for the line manager and the probationer to set aside some dedicated time whereby achievements can be highlighted, and any difficulties or concerns addressed at the earliest opportunity. The People Support team will be available to provide advice and/or guidance at any stage of the process.

Informal review meetings

The line manager will meet with the probationer informally at regular intervals throughout the probationary period to provide support and feedback with the aim of ensuring the probationer is supported and equipped to undertake their role as detailed in the job description.

Formal interim review meetings

Structured formal interim review meetings will take place at defined intervals as noted below. These meetings should be documented using the standard template (Appendix 1), and progress assessed against agreed objectives.

Outcomes

Satisfactory progress

When progress during the probationary period is satisfactory, the People Support team will notify the line manager by email that the probation period is due to end up to 6 weeks before the designated end date.

The line manager will complete (Appendix 1) and return it to the People Support team no later than 2 weeks before the end of the probationary period. The report should highlight satisfactory performance, specific achievements, and confirmation that the probationer has completed the mandatory role-specific and University training as required.

The People Support team will notify the probationer in writing that they have satisfactorily completed probation and they will transfer into the standard OSAR cycle.

Unsatisfactory progress

All concerns about shortfalls in performance/behaviour/conduct should be highlighted informally at the earliest opportunity so that probationers can be given the appropriate support to enable them to make the necessary improvements.

Unsatisfactory progress can be addressed at any stage during the probation period and whilst the emphasis is on supporting the probationer as much as possible where that does not prove successful, the line manager should follow the guidance below (steps 1 – 4) to address the issues formally

The time taken to progress through steps 1 to 4 will vary in accordance with the circumstances, but in all cases, employees will be given sufficient time and opportunity to respond to concerns, complete objectives and undergo training as relevant to demonstrate satisfactory performance/conduct/behaviour. Employees would be expected to address concerns regarding conduct or behaviour swiftly, however, more time may be necessary to allow employees to demonstrate improved/satisfactory performance.

Step 1

• The line manager will, along with the Senior People Partner arrange a formal meeting with the probationer to discuss the issues as soon as possible and the probationer may be accompanied by a work colleague or trade union representative
• At the meeting, the line manager will fully explain, with examples, the areas of concern, for example: performance/behaviour/conduct. The probationer will be given the opportunity to respond to the concerns and any response or mitigating circumstances will be considered prior to further action being taken
• Where it is clear in the meeting that there is indeed cause for concern, interim, clear objectives should be agreed upon and recorded (Appendix 2 Action Plan for Improving Performance). Appropriate timescales (normally a maximum of 4 weeks) should be identified in which the probationer is given the opportunity to show improvements. If the probationer is absent due to illness during this process, timescales will be adjusted, considering occupational health advice if appropriate to ensure fair treatment.
• Where the circumstances identified are related to a disability and the need for a reasonable adjustment to be implemented, adjustments should be arranged as quickly as possible, and timescales set to allow the individual to adapt to them.
• A follow-up letter will be sent to the probationer confirming the action that has been recommended, highlighting the consequences of continued unsatisfactory performance/behaviour/conduct
• Arrangements will be made to provide any relevant additional training during this time
• Regular meetings will be arranged between the line manager and probationer over the 4-week period to review progress against set objectives

Step 2

• Where the above support and guidance has resulted in satisfactory improvement either the probation period will continue to the original end date or if already at the end of the probation period, the employment will be confirmed.
• The People Support team will notify the probationer in writing that they have satisfactorily completed probation and they will transfer into the standard OSAR cycle

Step 3

• Where the probationer has not shown satisfactory improvement following Step 1 the line manager will consider whether the probation period should be extended or whether a recommendation is made to terminate the employment
• Where the probation period is to be extended it should normally be for no longer than 3 months
• When extending the probationary period, it should be clear to the probationer what the ongoing issues are, why the probation period is being extended, what support is being offered and the possible courses of action if no improvement is evident during that time
• Where a recommendation is being made for termination of employment the line manager will meet with the probationer, along with their representative if appropriate and inform them of the reasons for this and that a hearing will be convened.

Step 4

• When all the above steps have been exhausted, and in every case where termination of employment is being considered, the line manager must discuss the case with the Head of School/Director or delegate, outlining the issues/concerns
• The line manager must have documentary evidence to support the recommendation including notes of review meetings and any additional interim meetings, evidence of training and support given and any other evidence as appropriate
• The People Support team will write to the probationer inviting them to attend a Probationary Review Hearing
• The People Support team will arrange the Probationary Review Hearing in line with University Procedures. The panel will consist of:
  • Head of Department
  • A senior member of staff from another School/Department
  • Senior member of the People Support team who has not been involved to date
  • The Probationer has the right to be accompanied by a colleague or trade union representative
• The onus is on the panel to show that unsatisfactory progress related to performance, behaviour and/or conduct is the actual basis for any decision to dismiss. The panel must have reasonable grounds for that belief and have taken steps to inform the conclusions.