UNIVERSITY OF LEICESTER
DRAFT ORDINANCE
PROBATION
(Ordinance Procedure)
For use in: / All Divisions/Schools/Departments/Colleges of the UniversityFor use by: / All University employees
Owner / Staffing Policy Committee
Dates of Trade Union Consultation and Negotiation / Start: 8 January 2010
End: 2 March 2011
Date of Approval
by Strategy, Policy and Resources Committee / 15 November 2010
Date of Approval
by Senate / 30 March 2011
Date of Approval
by Council / 4 April 2011
Dates of
Trade Union Ballot
Launch Date
Review Date
Contact - Comments / Alun Reynolds – Geraldine McAughtry
PROBATION PROCEDURE
1. Introduction
1.1. Probation is intended to support the University’s recruitment and performance management processes. It is designed to provide Heads of Departments and line managers with clear guidance to manage performance, fairly and consistently for the benefit of staff and the University.
1.2. Where performance is satisfactory, the successful completion of the probationary period will normally be confirmed. However, where performance falls short of the required standard, the University will take the necessary action to ensure that performance issues are managed appropriately.
1.3. The Probation Ordinance (Policy and Procedure) should be read together.
1.4. Appendix 2 provides guidance on the levels of management normally involved in managing performance during probation.
2. Aims
The aims of the Ordinance are:
2.1. To provide line managers and Heads of Department with a framework to manage under-performance during probation by identifying the causes or contributory factors and, where possible, to ensure that staff are supported and enabled to adequately fulfil the responsibilities of their role.
2.2. To ensure that performance issues during probation are handled in a supportive, fair, equitable, transparent and timely manner.
3. Scope
3.1. The Probation Ordinance applies to all University employees. However, it is the normal expectation that staff employed on Grades 9 and 10/Professorial will not be subject to probation.
3.2. Chairs of recruitment panels may also use their discretion to determine whether staff appointed at Grade 8 and below must complete a probationary period.
3.3. Where a new member of staff (of any grade/level) is not required to serve a probationary period, the reasons for the exemption from probation must be documented and kept on the staff member’s personnel file.
4. Probation Procedures
4.1. There are 2 types of Probation:
· Probation for Academics
· Probation for All other staff (including HR)
PROBATION FOR ACADEMICS
1. Introduction
1.1. The University expects that academics who are required to serve a probationary period will normally have the opportunity to develop their teaching skills and their research profile, during the first 3 years of service, unless the degree of under-performance is particularly severe. Probation is designed to be a supportive, two-way process during which staff members can expect to receive the appropriate advice and guidance.
1.2. An academic is defined as a Lecturer, Senior Lecturer, Reader, Professor (including clinical equivalents) or the Vice-Chancellor.
1.3. The University expects that research output and performance should be consistent with that of an academic in a research intensive University. Academics are also required to display satisfactory performance in teaching and administration during their probationary period.
1.4. Academic staff who are required to serve a Probationary period will be monitored by Staff Management Group (SMG) and their Head of Department.
1.5. A Head of Department will take primary responsibility for monitoring and supporting academic staff on a day-to-day basis during their probationary period.
2. Role of Staff Management Group (SMG)
2.1. SMG has overall responsibility for managing the performance of academic staff at a strategic level across the University. SMG assesses and approves academic performance during the Probationary period. SMG also has the authority to extend probationary periods, challenge the decisions of line managers/Heads of Department and activate the Performance Management Ordinance, in cases of poor academic performance.
3. Induction
3.1. The Head of Department should ensure that a new member of staff receives a ‘local’, departmental induction and is given all the relevant training, information and support to undertake the role.
3.2. The Head of Department should meet with a new member of staff, ideally on their first day, but during their first week to:
1. Clarify the duties and responsibilities of the role including:
· the purpose of the probationary period;
· key aspects of the role;
· departmental and University structure;
· skills/competencies required;
· standard of work expected (quality and quantity);
· expectations of behaviour and conduct;
· an overview of the University’s Equal Opportunity and Health & Safety policies;
· relevant policies, procedures and processes e.g. absence reporting;
· any other duties specific to the role.
2. Define and agree objectives; explain how they will be monitored and measured and the frequency of review.
3. Identify and make provision for a mentor and relevant support including training.
4. Set dates to review agreed objectives.
5. Invite disclosure of a disability/any factors that may affect their performance during the probationary period/employment so that reasonable adjustments can be considered.
3.3. The Head of Department should keep a written record of the induction meeting, ideally, signed by the member of staff.
4. Monitoring – Informal Review Meetings
4.1. The line manager/Head of Department should have regular, pre-arranged informal review meetings to monitor the performance of a new member of staff during their probationary period.
4.2. Regular review meetings should take place to enable two-way communication and timely action to be taken, where required.
4.3. Under normal circumstances, informal review meetings should be attended by the line manager/Head of Department and member of staff only and should be free from interruption.
4.4. Informal probationary meetings must be arranged and communicated in advance. The Head of Department and the member of staff must prepare and ensure that review meetings reflect the true circumstances of probation.
4.5. During a review meeting, the line manager/Head of Department will normally:
· Recognise achievement and praise performance, where appropriate;
· Review training and development requirements and provide feedback on training and development undertaken;
· Explore areas of concern and performance issues;
· Identify areas for improvement;
· Provide appropriate guidance and support;
· Agree any changes to the staff member’s performance objectives.
5. Monitoring – Probation Reports for SMG
5.1. HR will contact line managers/Heads of Department to call for a probation report during Years 1, 2 and 3 of the probationary period. HR will normally contact the line manager/Head of Department 6 weeks in advance of an SMG meeting.
5.2. The line manager/Head of Department (in consultation with the staff member’s mentor) is required to prepare a probation report for Staff Management Group (SMG) for each member of academic staff on probation.
5.3. The line manager/Head of Department is required to submit the required probation report (s) to SMG (via HR) within the timescales specified by SMG.
5.4. SMG normally requires a probation report to be submitted to HR no later than 2 weeks before the relevant SMG meeting. SMG meeting dates are published on the University’s almanac.
5.5. The line manager/Head of Department is required to send a copy of the probation report to the staff member, before submitting the report to SMG.
5.6. Where the content of a probation report cannot be agreed by the parties, each party will insert their views/comments separately into the report so that SMG can consider the views of both parties.
6. Approval of Probation
6.1. Where there are no concerns with the performance of an academic member of staff in their probation reports, successful completion of probation will normally be confirmed by SMG at the end of the probationary period.
6.2. SMG will confirm the decision, in writing, to the member of staff, copying HR and the line manager/Head of Department.
6.3. A copy of the letter will be placed on the staff member’s personnel file.
7. Extending the Probationary Period
7.1. SMG is the body that decides whether an academic staff member’s probationary period should be extended (or not). SMG has the authority to extend a probationary period by up to 1 year, where it believes that an academic member of staff is under-performing.
7.2. A Head of Department or Head of College may also request an extension to a staff member’s probationary period by submitting a request to SMG. However, SMG will make the final decision.
7.3. The staff member will be made aware if an extension to the probationary period has been requested and will be given the opportunity to submit written representations to SMG.
7.4. SMG will normally extend a probationary period where:
· the member of staff has not performed to the expected standards but there is sufficient evidence that performance is likely to improve given the extra time;
· exceptional circumstances have had an impact on performance;
· the line manager has insufficient evidence to make a decision.
7.5. Where SMG approves an extension of a probationary period, SMG will write to the member of staff before the original end date of the probationary period. The letter will be copied to the relevant line manager/Head of Department and HR and will state:
· the reason(s) for the extension;
· the length of extension;
· assistance or training to be given during extension;
· areas requiring improvement.
8. Under-performance during Academic Probation
8.1. Where an academic member of staff is not performing to the required levels, the line manager/Head of Department will normally offer informal coaching or support before any formal proceedings begin. The line manager/Head of Department is advised to seek assistance from HR.
8.2. Where it is considered that a member of staff is under-performing (by either their line manager or SMG) or informal attempts to improve performance have not been successful, Procedure A of the Performance Management Ordinance will normally be activated by SMG.
8.3. Once the performance issues are raised formally, the academic member of staff will have the opportunity to raise any issues relating to academic freedom, in line with the procedural modifications set out in Appendix 3 of the Performance Management Ordinance (Procedure).
PROBATION FOR ALL STAFF
(except Academics)
1. Introduction
1.1. The University expects that all staff (except academics) on Probation will normally have the opportunity to demonstrate their suitability for the role within the first 6 months of service, unless the degree of under-performance is particularly severe.
1.2. Staff who are required to serve a probationary period will normally be monitored by their line manager. However, members of HR (Grade 6 and above) will also be monitored by Staff Management Group (SMG). Procedural modifications for HR staff on probation are set out in Appendix 4.
2. Induction
2.1. The line manager should have regular, pre-arranged meetings to monitor the performance of a new member of staff.
2.2. The line manager should ensure that a new member of staff receives a ‘local’, departmental induction and is given all the relevant training, information and support to undertake the role.
2.3. The line manager should meet with a new member of staff, ideally on their first day, but during their first week to:
1. Clarify the duties and responsibilities of the role including:
· the purpose of the probationary period;
· key aspects of the role;
· departmental and University structure;
· skills/competencies required;
· standard of work expected (quality and quantity);
· expectations of behaviour and conduct;
· an overview of the University’s Equal Opportunity and Health & Safety policies;
· relevant policies, procedures and processes e.g. absence reporting;
· any other duties specific to the role.
2. Define and agree objectives; explain how they will be monitored and measured and the frequency of review.
3. Identify and make provision for relevant training or a mentor (where appropriate).
4. Set dates to review agreed objectives.
5. Request disclosure of a disability/any factors that may affect their performance during the probationary period/employment so that reasonable adjustments can be considered.
2.4. The line manager should keep a written record of the induction meeting, ideally, signed by the member of staff.
3. Setting Objectives
3.1. Objectives are goals which should be achieved within a certain timeframe. The University recommends the use of the SMART model (below) to set objectives. SMART means:
· Specific (i.e. objectives are sufficiently detailed for staff to understand and take action).
· Measurable (i.e. objectives can be objectively assessed and measured).
· Achievable (i.e. objectives are reasonable and realistic within the parameters of the role and the timescales for review).
· Relevant (i.e. objectives are relevant to the role).
· Time Limited (i.e. objectives are measured and reviewed within a specified and realistic timescale).
3.2. HR will support and advise line managers on the development and communication of appropriate SMART objectives, on request.
3.3. The line manager should ensure that a new member of staff receives appropriate support, guidance and training to enable them to achieve their objectives.
3.4. The line manager should keep a written record of objectives, ideally signed by the member of staff.
4. Monitoring – Informal Review Meetings
4.1. Regular informal review meetings should take place to enable two-way communication and timely action to be taken, where required, during the probationary period.
4.2. Normally, three review meetings are recommended:
· Meeting 1 (Informal) – on/around end of first month of employment.
· Meeting 2 (Informal) – on/ around end of third month of employment.
· Meeting 3 – typically before the end of the sixth month of employment (though this may be earlier if required). This is usually an informal meeting, unless there are performance issues in which case, it is likely to be a formal probation hearing under the formal probation procedure (which is described later in this document).
4.3. Under normal circumstances, review meetings should be attended by the line manager and member of staff only and should be free from interruption.