Procedures and guidelines on the probation scheme for support staff
- Introduction
- Section I - The probationary process
- Section II - Unsatisfactory performance during the probation period
- Section III - Recommendation to terminate the appointment
- Appendices
Section I - The Probationary Process
1. Introduction
All support staff* appointed to the University are required to complete a probationary period. The length of the probationary period is linked to the grading of the post and is set down in the contract of employment. The length of any probation period may be reduced/waived/extended with the agreement of Human Resources.
Management of probation is the responsibility of the Head of School/Unit but day-to-day responsibility and monitoring can be delegated to a Line Manager. Where this is in operation, the Head of School/Unit must be kept informed of progress and issues as they arise and have sight of the agreed documents listed below. Probation for all staff is linked to Q6 which is a review and development process undertaken on an annual basis for all staff by their relevant line manager.
The purpose of the probationary period is to offer support and guidance to new employees in order that there is a clear understanding of the requirements of the role along with offering the necessary support to achieve the required standard during the initial period of employment. At the same time, it provides the University with an opportunity to assess the performance and future potential of the employee before deciding whether or not to confirm the appointment.
* Please note, support staff are those that are aligned to the following job families:
- Academic Teaching
- Academic Research
- Managerial, Specialist & Administrative
- Technical
- Operational & Facilities
A flowchart of the procedure is shown in Appendix A.
2. At the start of employment
The Head of School/Unit/Line Manager will meet with the probationer at the commencement of employment and agree responses to Questions 4 – 6 on the Q6 template (Appendix B - Q6 (PDF, 53 KB)) . The purpose of this is to set down realistic objectives in relation to the role being undertaken that will allow fair judgement of the probationer. A clear focus should be given to the probationer at this meeting of the expected behaviours, level of collegiality and teamwork expected of them during their employment with the University along with defining training needs. The Head of School/Unit should then advise Human Resources that this meeting has taken place and that a Q6 form is in place for the probationer.
3. Progress Review
The Head of School/Unit/Line Manager will meet with and review the probationer’s progress at formal regular intervals throughout the probationary period and ensure regular feedback is given (see table below). The purpose of these meetings is to review and record, in writing, progress with regard to the initial objectives, to have a general discussion with regard to performance and to allow the probationer to raise any issues regarding their duties. Any concerns regarding the probationer’s performance must be raised at these meetings and formally recorded. Please refer to Section II.
Formal Reviews should be undertaken at the intervals shown below:
| Probation Period | 1st Formal Review | 2nd Formal Review | 3rd Formal Review | Final Review |
|---|---|---|---|---|
| 3 months | End of Month 1 | First week in Month 3 | ||
| 6 months | End of Month 1 | End of Month 3 | First week in Month 6 | |
| 15 months | End of Month 1 | End of Month 3 | End of Month 7 | First 2 weeks in Month 10 |
4. End of Probation
(a) Grades 1-4
Human Resources will write to the Head of School/Unit at least one month before the end of the probationary period as a reminder that the probationary report is due.
The Head of School/Unit/Line Manager is required to meet with the probationer to discuss overall performance and to reflect on the probationary period. At this meeting, the Head of School/Unit should recommend whether the appointment is to be confirmed, the probationary period extended or that (s)he will be seeking to terminate the appointment.
(b) Grades 5-9
(i) Human Resources will write to the Head of School/Unit and probationer during Month 8 of the probationary period as a reminder that the probationary reports are due for completion in Month 9 by the probationer and Month 10 by the Head of School/Unit/Line Manager.
(ii) Month 9 after Appointment - The probationer should submit a response to Questions 1-3 on a Q6 form (Appendix B - Q6 (PDF, 53 KB)) to their Head of School/Unit/Line Manager giving evidence of their progress. 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 provide detail of the range of tasks undertaken. 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 linked to their role/requirements of the School/Unit.
The completed forms must be submitted to the Head of School/Unit/Line Manager by the end of Month 9.
5. Probationary Satisfactory
(a) Grades 1-4
The probationary report should be signed by the Head of School/Unit (Appendix C - Probation Form (PDF, 47 KB) ) and returned to Human Resources at least 4 weeks before the probationary end date. The report should identify what the individual has achieved in relation to the objectives set down at the start of the appointment, how performance has been measured, how satisfied you are with the individual’s overall performance in relation to behaviour, collegiality and teamwork and what objectives have been set for the future.
(b) Grades 5 – 9
The probationary report (Appendix C - Probation Form (PDF, 47 KB)) should be completed and signed by the Head of School/Unit and returned to Human Resources prior to the end of Month 10. The report should identify what the individual has achieved in relation to the objectives set down at the start of the appointment, how performance has been measured, how satisfied you are with the individual’s overall performance in relation to behaviour, collegiality and teamwork and what objectives have been set for the future.
In addition, the Head of School/Unit/Line Manager should discuss and agree a set of 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/Unit.
6. Probation Not Satisfactory – appointment to be extended
Where the probationary period has not been completed satisfactorily but where a further period of probation is judged to provide realistic opportunity for a satisfactory outcome, the Head of School/Unit may, in agreement with Human Resources, seek to extend the probationary period for a further period. Any extension to the probation period must be with good cause and the Head of School/Unit must be able to demonstrate the benefits of such an extension. The Head of School/Unit must inform the probationer of the decision and provide them with an action plan for completion during the extended period. The Head of School/Unit should complete the Probation Form (Appendix C - Probation Form (PDF, 47 KB)) recommending that the probation period should be extended, indicating the period of the extension and including a copy of the action plan.
7. Probation Not Satisfactory - appointment to be terminated
Where the probationary period has not been completed satisfactorily and where a further period of probation is judged not to provide a realistic opportunity for a satisfactory outcome, the Head of School/Unit must inform the probationer of this and complete the Probation Form (Appendix C - Probation Form (PDF, 47 KB) ) recommending that the employment should be terminated. Please note that if performance is clearly unsatisfactory, the contract can be terminated before the end of the probationary period. It is essential that any concerns with performance should have been discussed with the probationer and necessary improvement strategies put in place well in advance of the final report on the probationary period. Should termination of the contract be sought, the process outlined in Section III should have commenced in advance of the end of the probationary period.
Section II - Unsatisfactory performance during the probation period
In the event that the Head of School/Unit/Line Manager considers performance to be unsatisfactory during the probation period (s)he must inform the probationer 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. 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 final report to Human Resources. If an extension to the probationary period is required, this must be approved by Human Resources in advance of the probationary period being concluded. If it is evident that no improvement is being made during the probation period, the Head of School/Unit/Line Manager should contact Human Resources immediately to discuss this matter further as it may be more appropriate to seek an early resolution of this matter via termination of appointment.
If the probationer is dissatisfied with the informal warning provided, in writing, by the Head of School/Unit/Line Manager (s)he should seek advice from Human Resources.
Section III - Recommendation to terminate the appointment
Where the probationary period, and any subsequent extensions to this, have not been completed satisfactorily the Head of School/Unit/Line Manager must inform the probationer of this and complete the Probation Form (Appendix C - Probation Form (PDF, 47 KB)) recommending that the employment should be terminated. Any concerns with performance should have been discussed with the probationer at the earliest opportunity with any improvement strategies being actioned well in advance of the final report on the probationary period. Where improvement is still unsatisfactory, the probationer should be informed of this and the Head of School/Unit should implement the termination process. Please note that the contract can be terminated prior to the end of the probationary period in circumstances of particularly poor performance and/or unsatisfactory improvement.
The recommendation to terminate the appointment should outline the issues/concerns, provide details of training/support put in place to assist the probationer and state clearly the reasons for the termination of the appointment. The following documents should be submitted to the Director of Human Resources with Appendix C:
- A copy of the original Q6 form setting out the objectives at the start of the appointment along with any other notes/paperwork issued at this time.
- A copy of the notes/progress reports from the progress review meetings.
- Any record of the advice and guidance given to the probationer and details of any discussions regarding underperformance and how they might be remedied.
- Any other relevant information.
On receipt of the probation form and related information, Human Resources will write to the probationer to arrange a hearing to discuss the recommendation and to provide them with an opportunity to state their case. This will normally be dealt with as a “dismissal” under the University’s Poor Performance (Capability) Procedures for staff not covered by the Model Statute except where Conduct is the reason for action. In this situation the University’s Disciplinary Procedure for staff not covered by the Model Statute will apply. The process outlined in the relevant procedure will be actioned with the following exceptions:
(a) No investigation will be required in view of the extant probationary documentation;
(b) The case will be presented by the designated manager
(c) The authority of the panel is to make one of the following judgements:
(i) Find that the employee has no case to answer and probation period should resume or confirm the employment with the University without any further probation period.
(ii) Extend the period of probation and require satisfactory completion of a course of training or developmental activity.
(iii) Dismiss the employee with the appropriate period of notice or payment in lieu of notice.
(iv) Dismiss the employee without notice and without pay in lieu of notice.
This list is not exhaustive and only gives an indication of what action the University might take following a hearing. Any alternative proposals must be approved by the Director of Human Resources.
Appendices
- Appendix A - Probation Process
- Appendix B - Q6 (PDF, 53 KB)
- Appendix C - Probation Form (PDF, 47 KB)
Human Resources
January 2010