Academic Probation Guidelines
Contents List Page Number
1. The purpose of probation 2
2. Providing support 2
3. Managing performance 2
4. Passing probation 3
5. Early release from probation 4
6. Supporting the Probationer 4
7. Duties of the Head of Department 6
8. Duties of the Probation Adviser 7
9. Probation Sub Group 8
10. The role of Human Resources 9
11. Links to template forms 9
Appendix 1: Probation process flowchart 10
Appendix 2: Indicative probationary targets 11
Appendix 3: Work plan guidance 12
Appendix 4: Termination procedure 14
Appendix 5: Probation adviser guidelines 15
1. The Purpose of Probation
The purpose of academic probation is two fold:
· to provide a period of employment during which new staff can benefit from additional support, guidance and, for research active staff, a lighter teaching load in order to settle in and make a good start to their careers
· to enable the College to be certain that a good appointment has been made and that the new staff member will be able to fulfil all the duties required to the required standard
All new lecturers, including Teaching Focused appointments, are normally required to complete a probationary period of three years.
The period of probation for senior lecturers, including Teaching Focused appointments is also three years. However, the Chair of the appointment panel, which will include the Head of Department, may recommend a lesser period of probation to the Chair of the Probation Sub-Group if there is evidence that the candidate has successfully discharged part or all of the probationary period at a comparable institution in equivalent academic posts. The agreed period of probation will be stated in the letter of appointment.
2. Providing Support
Probation is a means to ensure that new colleagues have the opportunity to adapt to their new environment and in some cases to the new role that they have acquired. It recognises that there is a general ‘start-up cost’ of moving to a new environment and that the College has a responsibility to support new colleagues in this situation. For example, it recognises there may be more specific demands on staff time in that the College asks for particular staff development activities to be undertaken in the context of probation, for example completion of the College’s Certificate in Academic Practice in Teaching and Learning (CAPITAL) and attendance on the On Track researcher training programme. It also recognises the needs of new entrants to the profession to have time to build their research portfolio. Probation, therefore, provides a mechanism whereby new staff can benefit from recognition of these elements in their workload allocation, balanced to take into account the focus of the appointment, as well as ensuring that a Probation Adviser is available to monitor progress and provide help as necessary.
3. Managing Performance
It is hoped that with the necessary support and encouragement all new members of staff will be able to reach the standard required to be confirmed in post. However, should there be an occasion where despite support the standard has not been met then it is important that the procedure followed allows the College to decide not to confirm an appointment and terminate the contract of employment. Not confirming the appointment after either the original or an extended probationary period constitutes a dismissal. See appendix 4 for details of the dismissal process.
There are significant management requirements involved in ensuring that the process is fair and can be defended in an employment tribunal should that become necessary. The Human Resources Department should be contacted as soon as it becomes apparent that there are difficulties with a member of staff on probation.
It is essential that the proper documentation is available for a fair dismissal to take place. At all stages of the probationary process notes should be taken of meetings and kept on the departmental personal file. Minutes from the Probation Sub Group and letters sent to the probationer will also form part of the record.
4. Passing probation
Successful completion of probation will depend on a member of staff meeting the following minimum requirements and any additional criteria as laid out in the offer of employment:
· Completion of the College CAPITAL programme (subject to the caveat below);
· Attendance of the On Track researcher training programme (subject to the caveat below), attending 4 workshops over the course of the probationary period.
· Meeting specified publication targets;
· Meeting specified research application and third stream activity targets;
· Obtaining at least satisfactory evaluations of teaching activities, as obtained through student surveys and peer observation;
· Satisfactory completion of relevant managerial and administrative tasks; and
· Behaving in accordance with the College’s academic guiding principles and values and beliefs
New staff in teaching focused positions will not be required to attend the On Track researcher training programme. In addition, they will not be set probation criteria relating to publication targets and research applications but may be given targets relating to developing teaching initiatives and pedagogic research.
Specific requirements for the successful completion of probation will be agreed between the Chair of the Appointment Panel, the Dean of the Faculty, the Head of Department and the appointee. These will be guided both by the priorities of the College and the disciplinary norm (see Appendix 2)
Where new appointees already have significant teaching experience or qualifications and seek partial or complete exemption from CAPITAL, they should meet with the Head of Department and the Director of the EDC. Where it is agreed that a probationer is not required to complete CAPITAL then Human Resources should be notified. The Vice-Principal for Education is responsible for making the final decision regarding exemption from CAPITAL should there be any dispute. Appointees who are exempt from CAPITAL are expected to gain HEA Fellowship by direct application. The EDC will provide guidance on submission of the application.
Probationers will be exempt from CAPITAL if they already have full HEA Fellowship. Full Fellows of the HEA will be very welcome to join CAPITAL, which is intended as an introduction to Royal Holloway as well as providing support for teaching. However, it would be expected that all incoming academic staff, regardless of their eligibility for exemption, attend the introductory module of CAPITAL.
Upon successful completion of CAPITAL, members of staff will be eligible to apply for HE Academy Fellowship. The College encourages members of staff to apply for Fellowship as it can be an important indicator of personal professional development and of institutional quality. Assistance and guidance on applying is available from the Educational Development Centre.
Progression through On Track will depend on the focus of the appointment and does not necessarily require completion by the end of the probation period as long as satisfactory progress has been maintained.
5. Early Release from Probation
Early release from probation may be agreed at the discretion of the Probation Sub-Group, where there is evidence that the expected standards have been met early and that the ongoing support that probation is intended to provide is no longer necessary. The normal circumstances in which this might happen are where the member of staff already has significant relevant experience at another institution.
Similarly, members of academic staff promoted by the Academic Staffing and Titles Committee (ASTC) during their probationary period will be released from probation with effect from the date of promotion.
6. Supporting the Probationer
For the probationary period to be successful, the College recognises that the appointee will require both developmental support and mentoring, and also careful monitoring of the teaching load and minimal administration.
6.1 Probation Advising
The Head of Department, in conjunction with the interview panel, will appoint a Probation Adviser to the Probationer. The Probation Adviser will not be the Head of Department and, where possible, the Probation Adviser will be at a more senior level to the Probationer, for example assigning a Senior Lecturer to a Lecturer. When assigning a Probation Adviser, the Head of Department should keep in mind that the Probation Adviser will need to provide advice and support on both research and teaching as appropriate to the nature of the Probationer’s position.
The Probation Adviser will provide guidance and support to the Probationer and
· agree an annual work plan, for the forthcoming year, covering research, teaching, administration and (where appropriate) enterprise activities that complies with the College’s probation requirements and is submitted for approval to the Head of Department
· identify specific training and staff development requirements
· meet at least once each term to monitor progress and provide advice
· provide guidance on suitable outlets to target for publication
· To encourage the Probationer, upon completion of CAPITAL, to apply for HE Academy Fellowship.
The Head of Department will meet with the Probation Adviser and Probationer at the end of the first and second year.
The Head of Department will consider the annual work plan and achievements and the notes of the meetings between the Probation Adviser and Probationer in order to ensure that both the Department and the appointee are discharging their duties in a satisfactory manner.
Should a Probationer consider, at any time, that the advice and guidance being provided is unsatisfactory, and discussions with the Probation Adviser have not resolved the matter, the Probationer should discuss the issue with the Head of Department. If the Head of Department is unable to resolve the matter he/she or the Probationer may raise the matter with the Probation Sub Group via the Human Resources Department. The Probation Sub Group may decide to appoint a replacement Adviser.
If exceptional circumstances occur and a change of Probation Adviser is proposed by the Probationer, Probation Adviser or Head of Department, and agreed by all parties, the name of the replacement Adviser and the reasons for such change must be made in writing and signed by all parties. The Head of Department shall notify the Probation Sub Group of the change, attaching a copy of the signed document.
6.2 Lighter Workload
In order to allow for development, a Probationer who is not employed on a teaching focused contract will have a reduced teaching and administrative workload to be agreed with the Head of Department and the Probationer. In terms of administration, the following roles (and any others of similar size) should not form part of the responsibilities of a probationer unless agreed in writing by the Dean:
· Admissions Tutor
· Director of Graduate Studies
· Leading what would be considered a large course programme in the probationer’s department.
· Academic Co-ordinator
It is recognised that in some very small departments these roles might need to be allocated to new staff and that in these cases the role is likely to be less demanding. However, these departments are not permitted to exempt themselves from the requirements to provide a lighter load and the situation should be monitored by the Probation Adviser.
Duties associated with the role of Personal Tutor and Course Convenor may be undertaken but to a moderate level only. This should be monitored closely by the Head of Department.
A Probationer should not act as the first supervisor for PhD students. However, they may co-supervise students or act as 2nd Supervisor if agreed by the Head of Department.
In all circumstances the size and resources of the Probationers Academic Department needs to be taken into account when considering a reduction in teaching/research and administrative workload.
Normally probationers teaching focused positions are not given a lighter load although departments should be sensitive to occasions where additional support is needed to settle into teaching and preparing classes in radical new areas.
6.3 Staff Development
The Probationer will be provided with training and development opportunities in education and research. This will normally include involvement in CAPITAL, training in writing research grant applications and publication strategies, and specific development as identified by the Probation Adviser and Probationer.
The Probation Adviser should ensure that s/he is familiar with the EDC and be aware of other staff development activities within the College. Details of these are available on the College’s Web Pages. Where the EDC do not have expertise in a particular area that would be of value to the Probationer then they should assist the Probationer in making the necessary contacts.
7. Duties of Head of Department
The Head of Department is responsible for managing the performance of all his or her staff. In order to separate the guidance and management roles it has been agreed that the Head of Department should not act as a Probation Adviser unless absolutely necessary.
Academic Probationers are not required to take part in the annual appraisal exercise as their personal development and objectives will be included within the probation review meetings.
It is important that the probation process is followed in a timely manner. End of year reports are requested from Heads of Department in plenty of time, but where it is not possible to submit reports in time then the Human Resources Department should be notified.
The Head of Department is responsible for managing the department workload model to ensure that teaching and administrative relief can be met. No additional resources from the College are available to cover these duties.
The Head of Department should communicate with the Human Resources Department and the Dean any problems with performance that may jeopardise the satisfactory completion of probation.
During First Year:
· Appoint Probation Adviser in conjunction with interview panel. Agree any criteria for completion of probation to be included in the offer letter.
· To ensure that a departmental induction take place and to meet with new staff member as part of this process. At this meeting (or as soon as possible thereafter) the Probation Adviser should be introduced and the role of the Probation Adviser and the probation process explained.
· Criteria and targets for completing probation and meeting expectations should be explained and agreed with the Probation Adviser and Probationer as soon as possible after starting. Probation teaching (including CAPITAL involvement) and administrative loads should also be agreed at this meeting.