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Procedures and guidelines on the academic probation scheme

  1. Introduction
  2. Section I - Academic probation
  3. Section II - Responsibility of the Head of School
  4. Section III - Unsatisfactory performance during the probation period
  5. Section IV - Dealing with any concerns of the Probationer
  6. Section V - Review
  7. Appendices

Introduction

All staff appointed as a Lecturer or Temporary Lecturer at the University will normally be covered by the Academic Probation Scheme.

The management of probation is the responsibility of the Probation Review Committee which consists of the Master, Vice-Principal Learning and Teaching, Vice-Principal Research, the Dean of Arts and the Dean of Science.  A member of Human Resources attends all meetings.

The Committee meets quarterly to review the progress of probationary staff.  The Committee will, based on the information provided to them, either confirm that the probationary period has been passed successfully, seek clarification on issues or extend the probationary period if there is just cause.*

*Where a Head of School has concerns about the progress being made by an individual this should be brought to the attention of the Convener of the Probation Review Committee and the Director of Human Resources at the earliest opportunity and certainly well in advance of the probation review period being completed.

Section I - Academic probation

Length of probation

All staff appointed as Lecturer/Temporary Lecturer will normally be required to complete a 15 month probation period with the University.  This may be reduced in agreement with the Master and the Director of Human Resources.

Participation in the academic staff development programme

CAPOD runs a programme of workshops and courses to familiarise members of academic staff with key policies and procedures and provide opportunities to reflect on teaching practice and enhance professional expertise. All new members of staff with teaching responsibilities, whether probationary or not, have particular attendance requirements. For further details and to book places, please visit Academic staff development programme.

Appointment of a Mentor

The Probationer will be provided with a Mentor within his/her School. Please refer to the Mentoring Scheme for Academic Probationers Mentoring scheme for Academic Probationers.

Submissions required

(Human Resources will prompt for all submissions at the appropriate time)

  1. Within the first month

    The Head of School must meet with the Probationer & Mentor and agree Questions 4-6 on the Q6 Form (Word, 217 KB). The purpose of this is to set down realistic objectives in Research, Teaching and Service that will allow a fair judgement of the Probationer in terms of the role they are undertaking. A clear focus should be given to the Probationer at this meeting of expected behaviours, level of collegiality and teamwork. Along with this the Head of School should encourage the Probationer to sit in on the lectures of other teaching staff. The purpose of these observations is to introduce the Probationer to different teaching styles and good practice and to encourage the Probationer to reflect on their own teaching style. Please note that the Head of School has the discretion to agree exemptions for individual staff members where there is clear evidence of extensive prior teaching experience at an appropriate level.

    The Head of School should then advise Human Resources that this meeting has taken place and that a Q6 form is in place for the Probationer.

  2. Month 11 after appointment

    The Probationer should submit a response to Questions 1-3 on a Q6 Form (Word, 217 KB) to their Head of School giving evidence of their progress and duties undertaken in Research, Teaching and Service including collegiality and teamwork. The response should build on the agreed objectives set out at the start of the appointment (Questions 4-6 on the original Q6 form). This will provide an opportunity for the probationer to demonstrate their research plans/interests, reflective observations on their teaching, details of the range of tasks undertaken and their reflection on the feedback given. The Probationer should also complete new responses to questions 4-6 looking towards the next twelve months. This will provide the opportunity to state in detail their plans/ambitions for the future.

    Along with this, the Probationer is required to complete a reflective summary report informed by their completed Q6 form. Appendix B provides guidance on the type of information sought in the reflective reports.

    The Probationer must also provide a list of internal courses attended by printing his/her training record available via www.st-andrews.ac.uk/staff/pdms/ (within ‘My Courses’).

    The reflective summary report, completed Q6 form and training record should be submitted to the Head of School.

    The completed forms must be submitted to the Head of School by the end of Month 11.

  3. Month 12 after appointment

    1. The Head of School is required to meet with the Probationer and the Mentor to discuss the responses submitted and to agree the objectives for the next Q6 review period. This will produce an agreed Q6 form which both parties sign off and will move the Probationer into the normal Q6 review cycle for the School if the probationary period is passed successfully.

    2. After the meeting, the Head of School must submit, by the end of Month 12, a completed Appendix D - Q6 probation (PDF, 129 KB) providing evidence to support the final recommendation. The report should identify what the Probationer has achieved in relation to the objectives set down at the start of the appointment, how performance has been measured, how satisfied the Head of School is with the Probationer’s overall performance in relation to behaviour, collegiality and teamwork and what objectives have been set for the future. The Probationer should receive a copy of the report and, as any issues should be discussed with him/her on an ongoing basis throughout the probationary period, the report should not contain any information that the Probationer is unaware of.

    The completed Probation Form and the Reflective Summary Report must be forwarded to Human Resources by the 13th month of the probation period.

Section II - Responsibility of the Head of School

The Head of School is responsible for making suitable arrangements so as to ensure that the probationer receives appropriate advice and support to be able to meet the criteria required for successful completion of probation.  Accurate, realistic and timely feedback from the Head of School is an important element in supporting the development of a probationer.

To give the Probationer every opportunity for research success, the Head of School should ensure that they are not given an unreasonable amount of teaching and administration that may be detrimental to their research efforts in the early part of their career.

While advice and support is available to the Probationer through the mentoring arrangements, this is in no way a substitute for the managerial role expected of the Head of School.

The Head of School (or authorised deputy) is expected to:

  • Ensure that proper induction is provided at the start of the appointment including the completion of the Q6 Form. See New staff induction checklist (Word, 113 KB).

  • Facilitate the appointment of a mentor in accordance with the Mentoring Scheme for Academic Probationers and arrange to meet with the mentor and the probationer, within one month of the probationer starting.  The purpose of this meeting is to clarify the University’s expectations regarding the quality and quantity of research, teaching, administration and service and behaviour, collegiality and teamwork and to complete Questions 4-6 of the Q6 form.

  • Ensure that the Probationer’s teaching is observed by his/her mentor within the first 3 months of appointment and during approximately month 9 of appointment.  Efforts should be made, where possible, to observe two different teaching situations. For example, if lecturing style is observed within the first 3 months, then perhaps seminar teaching might be observed at 9 months. As these observations are purely developmental, the outcomes should remain confidential to the Probationer and the Mentor. It is the responsibility of the Head of School to ensure Probationers are engaging in this practice.

  • The Head of School should observe the Probationer’s teaching during month 12 of appointment. As the purpose of this observation is both evaluative and developmental, the outcomes should be formally recorded in the ‘Teaching’ section of the Q6 Probation form.

  • Recommend staff development/training activities as appropriate for the probationer throughout the probationary period and as outlined in Section I above.

  • Ensure that the probationer, along with their mentor, is given regular feedback about their performance in all aspects of their work: teaching, research and administration.

  • Undertake a final probation review meeting with each probationer, no later than 12 months into their probationary period.  It is the material that is presented at this meeting that will provide the basis for the Head of School’s report to the University’s Probation Review Committee.

On the basis of the information provided, the Committee will determine whether or not progress has been satisfactory.  Where the Committee is dissatisfied with some aspect of performance during probation, it will advise the Head of School accordingly.  It is the responsibility of the Head of School to implement the plan agreed with the Convener of the Probation Review Committee on the best way forward.  At this stage the Head of School should:

  • Ensure that mentors are fully aware of the outcome of the Committee and of the Head of School’s view on the performance of the probationer.

  • Meet with each probationer (and, if appropriate, the mentor) after the report from the Committee has been received to agree detailed objectives for the extended probation period (if applicable).

  • The report will inform the individual of the right to appeal against this decision.  Any appeal should be submitted to the Director of Human Resources within 10 working days of being informed of this.  Detail of the appeal process will be provided in the notification letter issued by Human Resources following the meeting of the Probation Review Committee.

Section III - Unsatisfactory performance during the probation period

In the event that the Head of School considers performance to be unsatisfactory during the probation period (s)he must inform the probationer and mentor of the concerns at the earliest opportunity and agree a strategy for improving performance.  Any discussions held/agreements made must be followed up in writing.  The Convener of the Probation Review Committee and the Director of Human Resources must be notified of the concerns and provided with a copy of the strategy for improvement.

Regular feedback should be given to the probationer between the time that a strategy has been agreed and submission of the 12 month report to the Probation Review Committee.  If an extension to the probationary period is required, this must be approved by the Probation Review Committee in advance of the 12 month period being concluded.

If there is no improvement in performance, the Head of School should contact Human Resources to implement the Disciplinary Process for Academic Staff.  The Head of School should not wait until the final report is requested by Human Resources but ensure that immediate and prompt action is taken.

Section IV - Dealing with any concerns of the Probationer

If the probationer has any concerns or faces any particular problems during their probationary period, they should raise it, in the first instance, with their Head of School or mentor.  If they find this difficult, they should seek advice from the Director of Human Resources as soon as possible.

Section V - Review

This probation scheme may be subject to regular review and update.

Appendices