Probation Procedure
Principles
Probation Periods
Roles & Responsibilities
Setting Objectives
Probationary Procedure
The Appeals Process
Long-term absences from work during Probation
Policy Review
Equality Impact Assessment
Who needs to complete probation?
Principles
This policy applies to new members of staff to Aberystwyth University and to staff who change role profile or job family during their existing probationary period.
When a new member of staff is appointed it is normally a contractual requirement to complete a period of probation. At the beginning of this period, the new member of staff (probationer) is assigned a mentor, who, along with the Institute Director/Head of Professional Service Department (ID/HOPSD) must establish a list of objectives to be met by target dates throughout the probationary period. Progress in meeting these objectives must be monitored at regular intervals by the ID/HOPSD, before a decision is made on whether or not the probationary period has been successfully completed.
The specific objectives will be captured in the Effective Contribution Scheme.
Probation Periods
| Category of staff | Probationary Period |
|---|---|
| Grades 1 - 10 (excluding academic staff) | 12 months |
| Academic staff Grades 6 -10 | 24 months |
Where a change in staff category takes place, a further period of probation will apply in line with the probationary period for that particular category.
Roles & Responsibilities
All individuals involved in the probation process have an important role to play in an individual’s successful completion of a probationary period. The key responsibilities are as follows:
3.1 The Probationer
It is the probationer’s responsibility to ensure that they have a thorough understanding of the requirements of the role, and that they fully engage with the probation process. In the event that the probationer feels at any point during the process that their objectives have changed or if the support /training specified in the form have changed, it is their responsibility to initiate a review with their line-manager to discuss whether the objectives need to be amended or if priorities need to change to allow for the objectives to be achieved.
3.2 The Line-Manager
The line-manager’s role is to provide the probationer with a thorough understanding of the requirement of the role, to set achievable and relevant objectives and to ensure that all necessary training and support has been put in place to enable the probationer to successfully achieve the objectives specified. The line-manager is also responsible for holding regular informal reviews with the probationer throughout the probationary period to ensure that the probationer is making good progress against the objectives and that any changes in the objectives or training and support required is noted on the form.
3.3 The Mentor
The mentor plays a very important role in the probation process The mentor provides the probationer with emotional and practical support throughout the probationary period and may be asked to intervene in difficult situations. To ensure an effective mentor is appointed, the individual chosen should satisfy the following criteria:
- Will not, in the majority of cases, be a member of staff within the same immediate professional area as the probationer; this ensures potential conflicts of interest are avoided;
- Is an experienced member of staff within the same job category as the probationer, e.g. AMP, Academic or Research Staff; this ensures advice relevant to the probationer’s position can be given and a shared understanding can be established.
3.4 The Faculty PVC / Head of Professional Service Department
The Faculty PVC / Head of Professional Service Department is responsible for checking that the objectives agreed between the probationer and line-manager are relevant and achievable, and that the support needed by the probationer is available.
Setting Objectives
The emphasis of the process is on supporting and developing staff to perform in their role.
Development: to ensure the development of new skills, attitudes, knowledge and behaviours that will help an employee achieve their objectives and succeed and learn in their role.
Performance: to set targets and outcomes for the coming year, and discuss support and training needs.
Clarity: to achieve a common understanding about what an employee on probation is being asked to do and how this fits into the department’s/institute’s aims and University’s strategic aims.
Space: For an individual to discuss their overall role and future plans.
Each objective must be:
- Specific
- Measurable
- Attainable
- Realistic
- Timetabled
Probationary Procedure
It takes time for new members of staff to settle into their new positions, but it is important that targets and objectives are set as soon as possible. To strike a balance between enabling staff to settle and ensuring they focus as soon as is practical, all staff must complete the form together with their line-manager within 4 weeks of their commencement in their post and be signed off by the ID/HOPSD.
In the event that the form has not been completed and uploaded to PoblAberPeople within 4 weeks of the commencement of the post, PoblAberPeople will automatically send a reminder to all parties, and will continue to do so until the form has been uploaded. In the event that the review has not been uploaded within 8 weeks, the Director of HR will be informed.
A reminder email will be sent to the probationer and line-manager at either 6 or 12 months* (*depending on the length of the probationary period) for them meet again to formally review the probationer’s progress against the agreed objectives. A review of the probationer’s progress against the identified objectives should be entered into each section of the form. If any further training or support needs are identified at this juncture they should also be noted. Once completed, the report should be considered and signed by the ID/HOPSD.
In the event that the review has not been uploaded to PoblAberPeople within 7/13 months* of the commencement to post, PoblAberPeople will automatically send a reminder email to all parties, and will continue to do so until the form has been uploaded. In the event that the review has not been uploaded within 8/14 months*, the Director of HR will be informed.
It is recognised that staff duties can change over time, which could affect the nature of the objectives set and the ability of the probationer to meet them. Any deviations from the agreed objectives should be noted, along with reasons for those deviations, given. This will ensure probationers are not unfairly penalised for any changes in circumstances that have affected their performance.
The probationer and line-manager should meet informally at regular intervals throughout the probation period to quickly resolve any difficulties experienced by the probationer in meeting his/her objectives. It is the responsibility of the probationer to report any difficulties, and it is the responsibility of the line-manager to endeavour to resolve those difficulties. Resolving matters as swiftly as possible ensures the performance of the probationer can be measured as fairly and as accurately as possible.
During the final month of the probationary period, PoblAberPeople will send an automated reminder to the probationer and line-manager to complete the final review of the probationer’s progress against the objectives set. The final report should indicate if the objectives have been met and should include any pertinent reasons for objectives which have not been met during the probationary period. Once completed, the ID/HOPSD must indicate whether or not they wish to recommend the appointment be confirmed. The probationer has an opportunity to respond to these comments. Once completed, the report should be considered and signed by the ID/HOPSD.
Where it is the ID/HOPSD’s recommendation that the probationer has passed their probationary period, the HR Department will seek approval from the relevant Pro Vice-Chancellor to confirm the recommendation. Once received, the HR Department will write to the probationer to confirm that they have successfully completed the probationary period. The employee will then move into the Effective Contribution Scheme for ongoing objective setting and annual review of their performance.
In the event that it is the ID/HOPDS’s recommendation that the probationer has not met the probationary objectives, the HR Department will seek approval from the relevant Pro Vice-Chancellor to confirm the recommendation. HR will then liaise with the
ID/HOPD to consider the options available. These include:-
- Extending probation for a period of up to 6 months
- Consideration of a formal Probationary hearing, one outcome of which may be dismissal
Where it is not considered appropriate to automatically consider an extension of the probationary period, a hearing should be convened. The employee will then receive confirmation in writing from the HR Department that the matter will be referred to a formal Probationary Hearing (See Appendix 1) to consider the matter. They will be entitled to be accompanied by a Trade Union representative or work colleague.
- In the event that the Probationary Hearing Panel determines that the employee should be dismissed, the probationer will be provided with written notice of dismissal on the grounds of capability.
- The Probationer will be informed of their right to appeal against any decision.
The Appeals Process
Following the decision of the Panel, the probationer will have the opportunity to lodge an appeal against the decision to dismiss or extend probation.
The request must be made in writing to the Director of Human Resources within 5 working days of receiving written notification of the decision. A brief outline of the reason(s) for the appeal must be included.
The Director of Human Resources or depute will arrange for an Appeals Panel to be convened. (See Appendix 2 for details).
Long-term absences from work during Probation
Probationary objectives, timescales to complete and review dates may need adjustment to take account of certain absences from work e.g. maternity/adoption leave, parental leave and/or long term sickness absence. In such cases, the line manager should agree with the probationer to review the objectives following such a period of absence and propose amendments as required so that a recommendation can be submitted to the ID/HOPSD. The ID/HOPSD should consider the amendments, indicate whether they support the recommendations or not and sign the form. The HR Department will seek approval from the relevant Pro Vice-Chancellor to confirm the recommendations. Once a decision has been received from the Pro Vice-Chancellor, the employee will be informed and the form revised accordingly.
This is a supportive measure to enable the probationer to have the full duration of a probationary period available to them to meet the objectives set and attend the relevant training/support identified.
Policy Review
The Director of Human Resources will co-ordinate a review of the University’s Probation Procedure every 3 years to maintain compliance with legislation and good practice.
The review will be undertaken in conjunction with the recognised trade unions and any proposed amendments will be submitted to Professional Development, Staffing and Equalities Committee for approval.
Equality Impact Assessment
The University is committed to embedding the Equality Scheme into its policies, procedures and practices. This policy has been equality impact assessed in accordance with this scheme.