INDUCTION AND PROBATION POLICY

DATE OF IINTERNAL MANAGEMENT COMMITTEE (IMC) ENDORSEMENT / July 2017
ORIGINAL ISSUE DATE
DATE TO BE REVIEWED / July 2018
CONTACT / Internal Management Committee
POLICY NUMBER / VERSION / 1

POLICY STATEMENT

ORGANISATIONS NAME operates a fair and thorough recruitment and selection process that aims to attract and employ the most suitable employees to join the team at ORGANISATIONS NAME. The aim of this Induction and Probation Policy is to ensure that from an individual’s first day with ORGANISATIONS NAME, the necessary information and support is provided to enable successful and continuing employment. Inorder to do this it sets out obligations and milestones for both manager and employee.

A flow chart of the Induction and Probation process is available - Appendix A.

It is the expectation of ORGANISATIONS NAMEthat the majority of new employees will successfully complete theirprobationary period, however in the rare circumstances this is not possible, the processes to be followed are also outlined in this policy.

PURPOSE

This Policy is intended to provide:

a)A structured induction to all new employees; to welcome them to ORGANISATIONS NAME, provide initial training, explain required standards and set objectives for the probationary period.

b)A structured probationary period for all new employees to introduce them to the main duties and responsibilities of position and to allow the opportunity for both the individual and the line manager to objectively assess whether or not the employee is suitable for the role

c)A framework for addressing any concerns, offering support and training to address perceived unsatisfactory performance or conduct at an early stage.

d)A process to end employment fairly and consistently during, or at the end of, the probationary period, at a point where it becomes clear that no further training or support would allow the employee to reach the required standards.

SCOPE

ORGANISATIONS NAMEStaff Induction and Probation Policy is universal and applies to all new employees and volunteers.

PROCEDURE

The Orientation and Induction Checklist for the nominated position of employment will be followed and completed. A copy will be stored into the employee/volunteer file.

RESPONSIBILITIES

Manager

The manager of ORGANISATIONS NAMEis responsible to assign appropriate skilled staff to complete the Orientation and Induction Checklist with the new employee/volunteer.

The manager will be responsible for explaining the performance standards required of the new employee and service standards relating to their area of work. The manager must make clear how these standards will be monitored throughout the probationary period and set appropriate objectives.

The manager is responsible for monitoring and managing probationary periods and with those to whom the day-to-day supervision of employees is delegated.

Employees/volunteers

All new employees/volunteers are required to complete the induction training packages and to be deemed competent before commencing work.

Probationary Meetings

It is expected that the manager will hold regular one-to-one meetings with all new employees, to provide information, support them in their new role, set standards, provide feedback on performance and progress and to address any concerns from the employee. These meetings should be held as frequently as deemed necessary but no less than once a month.

In addition to one-to-one meetings, 3 formal probationary meetings are to be held at the following intervals:

  • First meeting: At the end of the first month of employment.
  • Second meeting: At the mid-point of the probationary period
  • Final meeting: At least 2 weeks before the date on which the probationary period ends
PROBATION

Employees

First Probation

Where a probation period forms part of the employment contract, the first interview will occur at the completion of one month’s service with ORGANISATIONS NAME.

This interview will be with the manager and will include questions about how the person thinks they are operating in their position, as well as giving them some feedback about their performance. The employee will be encouraged to bring up any problems they may be experiencing.

The manager will confirm that the employee is meeting the requirements of the position, or any dates that particular requirements must be met by (i.e. the employee may have agreed to gain their Senior First Aid certificate by the end of their probation period).

Second Probation

The second probation interview will occur at the completion of two months of service with ORGANISATIONS NAME. This will be a similar format to the first interview, in addition it should review any problems that arose in the first interview if required. At this point the new employee will be given any other material particular to the service or their position.

Third Probation

The third interview occurs at the completion of two months and two weeks of service, and follows the same process as the second interview. If it is decided that the employee will continue their employment contract, a letter will be written by the manager to the staff member to acknowledge the successful completion of their probation period of employment. If the employment contract is not continued, termination is negotiated and a date for termination is set. This date is not to be later than three calendar months from commencement date.

Volunteers

First Probation

The first interview will occur at the completion of one month’s service with ORGANISATIONS NAME. This interview will be with the manager or designated appointed senior employee and will include questions about how the person thinks they are operating in their position, as well as giving them some feedback about their performance.

The volunteer will be encouraged to bring up any problems they may be experiencing. The manager or designated appointed senior employee will confirm that the volunteer is meeting the requirements of the position, or any dates that particular requirements must be met by the end of their probation period

Second Probation

The second probation interview will occur at the completion of two months of service with ORGANISATIONS NAME. This will be a similar format to the first interview, in addition it should review any problems that arose in the first interview if required. At this point the new volunteer will be given any other material particular to the service or their position.

Third Probation

The third interview occurs at the completion of two months and two weeks of service, and follows the same process as the second interview. If it is decided that the volunteer will continue their contract, a letter will be written by the manager to the volunteer to acknowledge the successful completion of their probation period. If the contract is not continued, termination is negotiated and a date for termination is set.

This date is not to be later than three calendar months from commencement date.

A formal probationary meeting may be held sooner if there is clear evidence that the employee’s performance or conduct is not meeting the required standards, and that more time will not address this failing. This evidence would need to demonstrate that appropriate support had been put in place, and the employee was given sufficient opportunity to improve.

A clear record must be made of each formal meeting and kept by the ORGANISATIONS NAME. In addition, copies of the record from probationary meetings must be stored in employee’s personal file, to confirm whether the probationary period was successfully completed, extended or failed.

End of probationary period

At the end of the Final Probationary Meeting the employee will be notified that:

a)they have successfully completed their probationary period; or,

b)their probationary period is being extended; the reasons why, the length of the extension, any support/training to be provided and any improvements that are required; or,

c)they have not satisfactorily completed their probationary period and their employment will be ended, following the required period of notice.

Successful completion of probationary period

a)Once an employee has successfully completed their probationary period, the manger will send a letter confirming this.

b)Following successful completion of the probationary period an employee will be managed through one-to-one meetings, will be set new or continuing objectives, and be annually appraised.

Extension of probationary period

A probationary period may be extended in the following circumstances:

a)There are concerns about an employee’s performance, behaviour or conduct, where it is believed these can be addressed during the extended period.

b)The employee has not completed all mandatory training.

c)The employee has had a significant amount of time away from work (e.g. shared parental leave or sickness absence) and has therefore been unable to demonstrate competence in certain areas.

d)The employee has moved to a different role during their probationary period, which is very different, or in a different section.

Non-completion of probationary period - ending employment

a)If, during an employee’s probationary period, it is suspected that the employee provided inaccurate or misleading information during the recruitment process, this will be discussed with the individual and, if established, employment may be ended.

b)If at any time during the probationary period, an employee’s performance or conduct is deemed to be unsatisfactory or they have not completed mandatory training or a required qualification, employment may be ended. This possibility is provided the individual has received sufficient support from their line manager, opportunity for improvement, and the correct procedures have been followed.

c)An employee whose employment ends due to non-completion of probationary period has the right of appeal against this decision. The appeal process is contained within the guidance on Ending a Probationary Period

EMPLOYEE INDUCTION PROBATION POLICY relates to:
HSQF Standards / Standard 6: Human Resources
Standard Indicators: 6.1, 6.3
Legislation orother requirements / -Work Health and Safety Act 2011 (QLD)
-Privacy Act
References / -Code of Conduct Policy
-Training and Development Policy
-Performance and Development Policy
-Fit for Work Policy

-Grievance and Dispute Resolution Policy

-Privacy Policy
-Confidentiality Policy
-Work Attendance Policy
-Dress Code Policy
-Conflict of Interest Policy
-Social Media Policy
-Personal Gifts Policy
Templates / -Employee Orientation and Induction Checklist
-Volunteer Orientation and Induction Checklist

APPENDICES A - Probationary Flow Chart

APPENDICES B: Setting Objectives

What is an objective?

  1. The process of setting and agreeing objectives during the probationary period is important to ensure that expectations are clear, fair and consistent. The new employee should understand what is expected of them and the behaviours required, as well as how this will be measured. The manager should be aware of the employee’s personal circumstances and training needs, and consider these when setting achievable objectives.

2. It is necessary to differentiate between goals and objectives.

  • Goals refer to aspirations, purpose and vision. They may be long-term and may involve others’ actions, which are outside the individual’s direct sphere of influence or control.
  • Objectives are potential attainments of the individual that can be realistically achieved by them by following a certain number of steps. These should be SMART.
  1. Objectives should focus on identifiable outcomes – what will achievement of the objective look like? They may relate to key performance indicators (KPIs) or service level requirements.

Where should the objectives come from?

  1. In probation, the principal objectives, including behavioural standards, will normally be based on the core duties of the Job Description used to define the post for appointment purposes. Additional objectives, based on changing needs or personal (e.g. research or developmental) objectives may be agreed with the employee.
  1. Consideration of how equality and diversity matters can be promoted within the role should also be embedded within the objectives.

SMART

  1. Probationary objectives should be based on the SMART acronym:

S / M / A / R / T
Specific / Measureable / Achievable (and agreed) / Relevant / Time specific
What exactly needs to be done, with, or for whom? / Is it measurable and can the employee and manager measure it? / Can it be achieved in the timeframe set, with the resources available?
Is there support (managerially/ politically) for it to be done? / Will this objective lead to the end goal, i.e. confirmation of a good recruitment decision? / When will this be accomplished /completed
  1. The objectives should relate to the employee’s core duties, as the purpose of this exercise is to be confident that the employee is capable of doing the job they have been recruited to do. The SMART approach is a method for validating an objective – it is not an objective itself!

Objectives should be kept under review. Where circumstances change (e.g. revised departmental priorities) you should revisit the objective to see if it is still relevant and achievable within the timescales. If it is not, it should be updated, removed or replaced, as appropriate.

APPENDICES C: Mentoring

Appointing the Mentor

  1. New employees will be given a mentor appointed by the manager at their request or if it has been identified the new employee would benefit from additional support.
  1. Mentors need to be appointed before, or soon after the new employee starts, so that introductions can be made during the induction process and the mentor/mentee relationship can quickly become established.

Who can be a Mentor?

  1. The role of a mentor is that of confidant and role model, someone who can provide encouragement and assist in the development of the probationer’s professional expertise. The mentor should be someone from outside the individual’s immediate work team, with whom they can share dilemmas, concerns and issues.
  1. Anyone can be a mentor if they:
  • work at ORGANISATIONS NAME
  • are willing to engage and fulfil the responsibility of a mentor and maintain their own continuous professional development (CPD);
  • are prepared to spend some time observing and to give formative feedback.
  • have the skills and knowledge of the role the mentee requires additional support.

The Mentor/Mentee relationship

  1. Mentoring is an informal, confidential and supportive process: the mentor does not have a management role in relation to the probationer and should not therefore be themanager/supervisor or appraiser.
  1. The mentor/probationer relationship is intended to be a partnership that informs and strengthens the probationer’s knowledge and skills through joint evaluation and discussion.

Expected outcomes

  1. The expected outcomes of a successful mentoring relationship for both parties are:

New employee (mentee)

  • is clear about her/his role in the team
  • is too benefit from the additional support and to receive constructive feedback to assist them to meet the requirements of the work role and expectations of ORGANISATIONS NAMEhas received support with their work towards the completion of the probation period if appropriate.

Mentor

  • is responsible to lead by example, to provide support to enable the mentee to grow in confidence and improve to meet the requirements of the work position
  • to provide constructive feedback based on evaluation of the mentee
  • report to the manager about the progress of the mentee

APPENDICES D: Ending a probationary period

  1. Throughout the probationary process, the new employee must be given the support and training required to become an effective member of staff.
  1. If, at any time during the probationary period, an employee’s performance, conduct or attendance is deemed to be unsatisfactory, or they are not on track to complete any mandatory training or a required qualification, a prompt meeting must be held with them to discuss this.
  1. It is expected that further regular meetings will be held to monitor progress towards realistic targets and if necessary individuals are offered training, coaching and/or supervision to address problem areas.
  1. It is expected that proactive management in this way will enable the necessary improvements to be made within the required timeframe. However, where it becomes clear that no further training or support would allow the employee to reach the required standards, employment may be ended.
  1. Employment may also be ended where the employee has failed to complete any mandatory training, despite support being given to enable them to do so.
  1. If, during the course of an employee’s probationary period, it is suspected or established that the individual provided inaccurate or misleading information during the recruitment process, this may be considered a sufficient reason to end their employment.
  1. Before any decision is taken, the employee will be invited to a hearing to discuss their continuing employment. The employee will be entitled to be accompanied by a workplace colleague or trade union representative if they wish and will be given full opportunity to state their case.
  1. When the decision is taken to end employment, the required period of notice will be given. If the manager decides it unnecessary for the employee to work through some or all of the notice period, pay in lieu may be offered instead.
  1. If an incident during the probationary period is so serious that it is considered to potentially be gross misconduct, this may lead to summary dismissal without notice. In such circumstances advice must be sought from the manager and a hearing convened.

APPENDICE E: The appeal process

An employee has the right to appeal against dismissal on the grounds that they have not completed their probationary period satisfactorily, including for one or more of the following reasons:

•The procedure - a failure to follow procedure had a material effect on the decision

•The decision - the evidence did not support the conclusion reached

•The penalty - was too severe given the circumstances of the case

  1. An employee wishing to appeal should submit notice in writing, to the manager of ORGANISATIONS NAME.
  2. The employee must be specific about the grounds of appeal as these will form the agenda for the hearing.
  3. An appeal must be submitted within 5 working days of the employee’s receipt of the formal letter confirming that they are to be dismissed for failing to complete satisfactorily their probationary period. The decision to dismiss the employee will be unchanged unless and until it is modified as a result of the appeal.
  4. Arrangements will be made for appeals to be heard as soon as reasonably practicable.
  5. The employee will be notified as soon as possible of the time, date and place of the appeal hearing with a minimum of 10 working days’ notice. The employee will be advised that they may be accompanied by a workplace colleague or Trade Union representative.
  6. Appeals will be heard by personnel who has not previously been involved.
  7. The possible outcomes of the Appeal are:
  • The appeal is not upheld and the decision to dismiss the employee stands.
  • The Appeal Panel consider dismissal to be inappropriate, and the employee’s probationary period is extended
  • The appeal is upheld and the decision to dismiss the employee will be cancelled. If this occurs, the employee shall be paid in full for the period from the date of dismissal (if there has been any gap between the effective date of termination and the date of the appeal hearing). Under such circumstances, continuity of service will be maintained.
  1. The result of the appeal will normally be notified to the employee orally within one working day and in writing within 10 working days of the hearing.
  2. The decision of the Appeal hearing is final.

APPENDICE F: RECORD of FIRST PROBATION MEETING