1.1 the University Aims to Create a Positive Environment Where Everyone Is Enabled to Work

HR/PB/15/02

Document Title: PROBATION - PROCEDURE FOR MANAGING RESEARCH ONLY, TEACHING ONLY, FACULTY TECHNICAL AND FACULTY SUPPORT STAFF
Version control: HR002B/13/V1
Policy Owner: HR Strategy – Human Resources
Approval Process:
Approved by VC:July 2013
Approved by Promotions Committee:July 2013
Equality Impact Assessed:EIA by HR – November 2013
Implementation date:November 2013
Updated: October 2015

1.0PURPOSE

1.1 The University aims to create a positive environment where everyone is enabled to work, fulfil their responsibilities, develop to their full potential and perform to the best of their ability to meet the needs of the University at the earliest opportunity.

1.2The aim of this procedure is to set a clear framework for line managers on how to manage the performance and conduct of new members of staff during their probationary period (described as “probationers” in this document) so that they can be successful in their new roles.

1.3The use of theprobationary period is:

• To give the probationer the opportunity to develop the necessary skills to carry out the job effectively and to develop his/her career;

• To enable the University to assess the contribution of a new member of staff and to ensure that he/she fulfils the requirements of their post.

1.4The probationary period should allow both the probationer and their line manager to assess objectively whether or not the probationer is suitable for the role. The University believes a probationary period increases the likelihood that new staff will perform effectively in their employment.

2.0SCOPE

2.1 This procedure applies to all new research only, teaching only, faculty technical and faculty support staff within their probationary period.

2.2Probation periods are 12 months.

2.3Staff on fixed term contracts will be subject to the same probationary period unless their initial period of employment is less than 12 months. If the initial period of employment is less than 12 months then regular reviews should be carried out in line with 5.2. These reviews will contribute to the overall probation period if employment is subsequently extended beyond 12 months.

2.4Criteria for successful completion of the probationary period will be related to departmental requirements.

2.5Any variations or exemptions from the probationary arrangements outlined in this section must be approved by the Faculty Dean.

3.0 PROBATION OBJECTIVES

3.1 Probation objectives will be set by using an initial PDR. An Initial PDR will be drawn up, within 1 month of commencement of employment and agreed between the line manager and probationer. The aim of the initial PDR is to provide the probationer with the support and guidance required to fulfil their objectives.

3.2 The initial PDR must include:

• Measurable objectives in line with the requirements of the role;
• Training and support which is available to meet the objectives;
• Any development needs for the probationer;
• A proposed date for the first formal review;
• The name of the probationer’s appraiser and a proposed date for the first formal review.

3.3It is recognised that differences in new entrants' backgrounds and experience, and in the requirements of the department may generate considerable variation between the agreements for individual employees.

3.4Consideration will be made for reasonable adjustments to the probationary agreement for probationers who have a disability as defined by the Equality Act 2010 (advice should be sought from the HR Partner). This should be reviewed during the probation period.

4.0ROLES AND RESPONSIBILITIES

4.1Line Manager responsibilities (where the line manager is not the Head of Department), include:

• Meet at regular intervals with the probationer to provide feedback on performance in a constructive and supportive manner;
• Alert any probationer who is not on track to pass probation in a timely manner and identify appropriate remedial action;
• Alert the Head of Department of any probationer who is not on track to pass probation in a timely manner;
• One month prior to the end of the probation period (or earlier, if this is considered appropriate), recommend to the Head of Department whether or not progress against probationary criteria has been satisfactory.

4.2 Probationer responsibilities include:

• Engage fully in their probation, the setting of their objectives and standards and develop their skills and knowledge to carry out their role to the highest possible standard;
• Seek clarification of expectations, standards, tasks, objectives and behaviours with their line manager if they are unclear;
• Bring all relevant issues, which may affect their work and performance to the attention of their line manager.

4.3Head of Department responsibilities include:

• All the responsibilities shown at 4.1 above for those members of staff reporting directly to them as Head of Department;
• Monitor progress of all probationers within the department;
• One month before the end of probation, or earlier, if this is considered appropriate, recommend as follows:
• For grades 7 upwards recommend to the Faculty Dean whether or not progress against probationary criteria has been satisfactory;
• For grades 1-6 agree with the line manager on the outcome of the final probation review.

4.4Dean responsibilities include:

• To review recommendations from Heads of Department for grades 7 upwards at the end of probation, and make decisions with the Head of Department on passing, extending or failing probation as appropriate.

5.0MANAGEMENT OF PROBATION PERIOD

5.1Probationers are expected to achieve all of the required standards and objectives of performance for their role outlined in the initial PDR by the end of their probation period.

5.2 The objectives set within the initial PDR should be reviewed in meetings between the line manager and the probationer after 4 and 8 months after commencement of employment.The meetings should be constructive and positive processes to give the probationer the opportunity to understand how they have met, or failed to achieve the objectives and to set new standards where required. The outcomes should be monitored and recorded on the probation review form.

5.3At any time during the probation period where the line manager identifies performance, which is below required standards, this should be brought to attention of the probationer in order to establish:

• the cause of the problem;
• the actions necessary to improve performance of the probationer;
• any support and/or training required;
• the improvement required and appropriate timescales.

This information should be recorded on the probation review form and a copy provided to the probationer.

5.4Where objectives are not being met and this is due solely to an absence from work of 3 or more months, the line manager with the Head of Department may consider extending the probation period to support the probationer to meet their objectives. Reasons may include:

• Maternity leave, statutory adoption leave & additional paternity leave;
• Disability;
• Ill health or injury;
• Mental health conditions;
• Constraints relating to pregnancy, maternity, breastfeeding, adoption, paternity or childcare;
• Other caring responsibilities;
• Gender reassignment.

6.0PROBATION REVIEW

6.1No later than 1 month before the end of the probation period the line manager will meet with the probationer to review the whole probation period and then make a recommendation to the Head of Department or Faculty Dean as appropriate on the suitability of the probationer to pass, extend or fail their probation. Such a recommendation will normally be made at the end of the Probationary period, but may be made earlier at the line manager’s discretion, where there is evidence to support an early recommendation.

6.2The Head of Department and/or Faculty Dean as outlined in section 4.3 will review each case and make decisions as follows:-

6.2.1Pass - If it is considered that the performance of the probationer has met the required standards and met the objectives outlined in their initial PDR, then they will be informed in writing that they have passed probation.

6.2.2Extend - If it is concluded that performance is not yet to the required standard, and that a reasonable extension of the review date would be likely to result in the probationer meeting the required standard of performance, then they will be informed in writing of the following:

• An extended review date of no more than 6 months;
• What is required of them to pass extended probation;
• The support which will be provided where required;
• The consequence that their employment may be terminated if they do not meet the required standard at the end of the extended probation period.

6.2.3 Fail - If it is considered that there is sufficient evidence of performance being below the required standards, a meeting will be convened with the probationer, in line with the University Capability Procedure section 8.3, at which they may be dismissed on the grounds of capability, with the appropriate notice.

7.0APPEAL

7.1Where a member of staff has been dismissed in accordance with the University probation procedure, they will be allowed a right of appeal in line with the appeals procedure at section 10 of the University Capability Procedure.

8.0REVIEW

8.1This policy and procedure will be kept under regular review and may be amended or withdrawn to reflect changes in legislation or changing University requirements.

9.0SUPPORTING DOCUMENTATION

• PDR Forms
• Probation Review Form – Grades 1 to 6
• Probation Review Form – Grades 7 and above

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