Probationary Procedure

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					Probationary Procedure


Purpose


The purpose of probation is to ensure that new members of staff during their first
twelve months of service, are enabled to achieve the standards of performance and
conduct required in their job, and in employment for University of the Arts London. It
enables the manager and the member of staff, jointly, to judge whether the
employment relationship should continue.


Following these standards and procedures should help to ensure that the possibility of
extension to probation, or termination of employment during or at the end of the
probationary period is minimised.


The Appraisal Scheme and the Disciplinary Code do not apply during the
probationary period (except in the case of misconduct which is dealt with under the
Disciplinary procedures after six months service). There is no such restriction in the
case of the Grievance Procedure.


In certain cases it may be appropriate to waive the requirement for a probationary
period. The Head of College or Pro-Rector has discretion to do so. In the case of
academic staff this will be in accordance with the 1991 National Agreement where the
individual is neither a new entrant to teaching in further or higher education, nor is
taking on significantly different job responsibilities.


Standards


1.     Probation is a continuous process. The day-to-day informal interaction
       between manager and member of staff should mean that at the formal reviews
       there are no surprises for the probationer. The probationer should be
       encouraged to seek help and support at all times.


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2.    Probation is closely linked to induction and staff development, which are
      important means by which the standards of performance and conduct are
      made known and any gaps closed. Standards of performance relate to the
      duties and responsibilities of the job, outlined in the job description. Standards
      of conduct include attendance, timekeeping, financial probity, and behaviour
      towards others.


3.    Probation is managed and monitored through an initial meeting and a series of
      three formal reviews between line manager (who is designated by Head of
      College) and probationer. These must take place, with the outcomes recorded
      and retained by both manager and member of staff. In the case of teaching
      staff this will include teaching observations formally recorded.


4.    The dates of all review meetings should be notified in advance, and written
      reports should be signed off by the manager and by the member of staff who
      should be given the opportunity to respond to these in writing on the form, and
      to retain a copy.


5.    Exceptionally, a recommendation for an extension of probation or for dismissal
      can be made at any point. If there are major problems these should not wait for
      a formal review. If either extension or dismissal is contemplated it should be
      discussed in advance with the appropriate senior manager and Personnel. If
      either course of action is considered this should be on the recommendation of
      the Dean or other senior responsible manager following an interview with the
      member of staff, and referred for a final decision to the Head of College or
      equivalent senior responsible manager. If dismissal is recommended the
      member of staff has the right to a personal hearing with the Pro-Rector.
      Personnel will arrange the hearing.




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Procedure


Throughout the procedures, reference to Dean or Head of College also means "or
equivalent responsible senior manager"


1.    If applicable, new members of staff are informed in their contract of
      employment that:


      " the first 12 months of your employment will be a probationary period, during
      which your suitability for the position to which you have been appointed will be
      assessed. You will be made aware during an initial discussion with your
      manager of the standards of performance and conduct expected. These will be
      reviewed formally after three months and six months service, and before your
      twelve months probationary period ends. The University reserve the right to
      extend your probationary period if, in its opinion, circumstances so require.
      During your probationary period your employment may be terminated by the
      University on giving the appropriate written notice. In the event of such a
      recommendation you have the right to a personal hearing with the Pro-Rector,
      whose decision will be final".


      If the requirement for a probationary period is waived this will be indicated on
      the Form B/Proposal to     Appoint, authorised by Head of College.


2.    Personnel will send a Probation "pack" (this guidance and the forms) to the
      manager on appointment of the member of staff. The manager will copy these
      guidance notes and the forms to the member of staff in preparation for the
      Initial Discussion.


      Induction


3.    It is the line manager’s responsibility to induct staff appropriately


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      Initial ‘Induction’ is a learning programme designed to support new, transferring
      or promoted staff. Its key functions are to welcome staff and assist in
      integrating them into the organisation. Any such programme needs to
      encompass planned and paced job-related training to enable the staff member
      to become proficient in the job quickly and safely, balanced by the need to help
      the individual to understand broader organisational issues. Given the federal
      structure of the University it is especially important the process be carried out
      consistently and effectively at local level, supplemented by corporate
      programmes.


      Health and Safety is an essential element in the early local induction to the
      working environment and for all staff in circumstances where changes building
      s have been made.


      While a meaningful and manageable Induction programme may include
      ‘events’ geared progressively to, job-related, team/College/School/Service, and
      University-wide orientation, it is important to recognise Induction as the first
      phase of a continuing process of development, nurtured at University of the
      Arts London through the embedding of probationary, planning, review and
      appraisal systems.




      Initial Discussion


   4. As soon as possible and certainly no later than the end of the first month the
      manager will have an initial discussion to review the duties and
      responsibilities of the job, and the knowledge, skills and behaviour required, as
      outlined in the job description/person specification and in the rules and
      regulations of the University; and the effectiveness/progress of the planned
      personalised induction programme. This will establish the standards of
      performance and conduct required, and any action necessary (e.g. coaching by


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      way of day to day guidance and support, staff development) to ensure that they
      can be met.


5.    In the case of academic staff this will include discussion of the teaching
      programme, identification of an appropriate colleague as a mentor (recorded on
      the form), and arrangements for the observation of teaching including ensuring
      that the Dean of School will observe at least twice in the first six months of
      service. The results of teaching observation may be recorded on a separate
      form, devised by Colleges, for the purpose.


6.    The member of staff will be given the opportunity to make written comments.
      The result of the initial discussion should be recorded on Sheet 1, and signed
      off by the manager and member of staff.


      First Formal Review - after 3 months service


7.    After three months service there will be a first formal review. Good work and
      progress towards the agreed standards of performance and conduct should be
      praised. The manager will draw to the attention of the probationer any
      deficiencies and areas for improvement, and agree further action required. The
      member of staff will be given the opportunity to make written comments. This
      should be recorded on Sheet 2, and signed off by the manager and member of
      staff.


      Second Formal Review - after 6 months service


8.    After six months service there will be a second formal review. Again, good
      work and progress towards the agreed standards of performance and conduct
      should be praised, and the member of staff's attention drawn to any
      deficiencies and areas for improvement. Further action required will be agreed.
      The member of staff will be given the opportunity to make written comments.
      This will be recorded on Sheet 3, and signed off by the manager and member

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      of staff. Clearly, if the performance and conduct of the probationer is
      satisfactory, then the review meetings at the three and six month stages need
      not be lengthy.


      Final Review - after 10 months service


9.    After ten months service and before eleven months have been completed,
      there will be a final review. In most cases, if the induction programme has
      been delivered effectively and the standards have been set and understood,
      and the necessary supportive action taken, the probationary period will be
      successfully completed. Even so, the review will provide an opportunity to
      highlight positive aspects, and areas for further attention which can be taken up
      in the appraisal process. The member of staff will be given the opportunity to
      make written comments. Sheet 4 should be completed and the complete set of
      forms sent to Personnel.


10.   If the probationary period has not been satisfactory the manager should make
      clear to the member of staff in what areas there have been deficiencies. After
      discussion, and taking into account any points made by the member of staff,
      the manager will complete Sheet 4, and make a recommendation and refer the
      case to the Dean or other equivalent responsible manager.


      Extending Probation


11.   If this concerns a recommendation to extend probation (and for how long) the
      report should go to the Dean, (or if the Dean is the designated manager, to the
      Head of College). The Dean will interview the member of staff, and take a
      decision. The member of staff may, if they so wish, be accompanied by a
      'friend' or Trade Union representative. This decision will be final. Sheet 4 will
      be completed and sent to Personnel. Personnel will write formally to the
      member of staff confirming the decision to extend, copying the letter to the
      manager. Further reviews, including a final review, will be arranged and

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      Personnel will send a further Probationary Report for completion. Depending
      on the length of the extension the timing of these Reviews may need to be
      varied.


      Terminating Employment


12.   If this concerns a recommendation to terminate employment, the report should
      go to the Dean, (or if the Dean is the designated manager, to the Head of
      College) who will interview the member of staff. The member of staff may if
      they so wish be accompanied by a "friend" or Trade Union representative. If
      the Dean makes a recommendation to dismiss they will send Sheet 4 along
      with the forms recording earlier Reviews to the Head of College, with a copy to
      Personnel.


13.   If the Head of College agrees with the recommendation, the member of staff
      will be informed by the Head of College in writing of the decision and be
      advised that they have five working days to decide whether to invoke their right
      to a personal hearing with the Pro-Rector, whose decision will be final. If the
      personal hearing is invoked the member of staff may, if they so wish, be
      accompanied by a 'friend' or Trade Union representative.


14.    A copy of the letter confirming termination of employment (if that is the
      decision) and the final report will be copied to Personnel, which will take the
      necessary action.




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                             Probationary Procedure


Name: ________________________________________________________


Job Title: ________________________________________________________


College/School: ______________________________________________________________


Start Date: __________________________________________________________________


Initial Discussion Date: _______________________________________________________
(within first month of service)


First Formal Review Date: _____________________________________________________
(after 3 months’ service)


Second Formal Review Date: _________________________________________________
(after 6 months’ service)


Final Review Date: ____________________________________________________________
(after 10 months’ service)




Copies should be retained by the manager and member of staff.

Please ensure that once this report is completed and signed that it is copied to
Personnel.

Note: If a member of staff is on a fixed term contract of less than 10 months, apply
review dates as applicable.




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                             Probationary Procedure

Record of Initial Discussion (Sheet 1)
This confirms that there has been an initial discussion of the duties and
responsibilities of the job, the standards of performance and conduct required, and
that the personalised induction programme is underway and proceeding
satisfactorily. If a mentor has been agreed, please indicate.
The actions agreed arising from this discussion are:




______________________________________________________________________________
           Record of Initial Discussion (Sheet 1) continues on the next page. PTO ›››


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                             Probationary Procedure

Record of Initial Discussion (Sheet 1) continued
Comments from member of staff:
(Please indicate if at this stage you wish these to be drawn to the attention of your
Dean/Senior Manager.)




__________________________________________________________________
The date set for the first formal review is: _________________________________
Signed:               _______________ _______________ _______________
(Manager)             (name)          (signature)     (date)




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Signed:               _______________ _______________ _______________
(Member of staff)     (name)          (signature)     (date)




                             Probationary Procedure

Record of First Formal (3 month) Review (Sheet 2)
This confirms that there has been a first formal review. In commenting below, cover
both standards of performance and conduct, and assess the effectiveness of the
personalised induction program.
The areas of progress and achievement so far have been:




Weaknesses and areas for improvement are:




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______________________________________________________________________________
Record of First Formal (3 month) Review (Sheet 2) continues on the next page.
PTO ›››




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                              Probationary Procedure

Record of First Formal (3 month) Review (Sheet 2) continued
The actions agreed arising from the above at this stage are:




Comments from member of staff:
(Please indicate if at this stage you wish these to be drawn to the attention of your
Dean/Senior Manager).




If, exceptionally, extension of probation or termination of employment at this
stage is considered, then complete Sheet 4.
__________________________________________________________________
The date set for the second formal review is:_______________________________
Signed:               _______________ _______________ _______________
(Manager)             (name)          (signature)     (date)

Signed:               _______________ _______________ _______________
(Member of staff)     (name)          (signature)     (date)




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                            Probationary Procedure

Record of Second Formal (6 month) Review (Sheet 3)
This confirms that there has been a second formal review. In commenting below,
cover both standards of performance and conduct.
The areas of progress and achievement so far have been:




Weaknesses and areas for improvement are:




__________________________________________________________________
 Record of Second Formal (6 month) Review (Sheet 3) continues on the next page.
                                                                       PTO ›››


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                              Probationary Procedure

Record of Second Formal (6 month) Review (Sheet 3) continued
The actions agreed arising from the above at this stage are:




Comments from member of staff:
(Please indicate if at this stage you wish these to be drawn to the attention of your
Dean/Senior Manager.)




If extension of probation or termination of employment at this stage is
considered, then complete Sheet 4.
__________________________________________________________________
The date set for the second formal review is:_______________________________
Signed:               _______________ _______________ _______________
(Manager)             (name)          (signature)     (date)

Signed:               _______________ _______________ _______________
(Member of staff)     (name)          (signature)     (date)


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                              Probationary Procedure

Record of Final Formal Review (Sheet 4)
This confirms that there has been a final formal review.
Use this form also if, at an earlier review, extension of probation or termination of
employment has been considered.
Comments (Manager)
Summary of performance and conduct during probationary period; including the
effectiveness of a personalized induction programme during the first part of this
period:




Recommendation (delete as appropriate)

i) Satisfactorily completed
ii) Unsatisfactory - extension of probation to be considered
iii) Unsatisfactory - termination of employment to be considered




Signed:_______________________________________Date:_________________
      Record of Final Formal Review (Sheet 4) continues on the next page. PTO ›››



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                           Probationary Procedure

Record of Final Formal Review (Sheet 4) continued
Comments (member of staff).




Signed: ________________________________________ Date:_______________

Comments and recommendation from Dean/Senior Manager

I confirm that I have interviewed the member on ____________________________

Comments:




My recommendation is:




Signed: ________________________________________ Date: ____________

If the recommendation is that probation has been satisfactorily completed or
that probation should be extended, send this sheet (Sheet 4) with copies of
Sheets 1-3 to Personnel.
or
If the recommendation is for termination of employment, send this sheet
(Sheet 4) to the Head of College for completion of the following page (with
copies of Sheets 1-3).
__________________________________________________________________
     Record of Final Formal Review (Sheet 4) continues on the next page. PTO ›››


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                             Probationary Procedure

Please note that this section of Sheet 4 (Comments and decision of Head of
College) is only to be completed if recommendation is for termination of
employment.

Record of Final Formal Review (Sheet 4) continued
Comments and decision of Head of College

Comments:




My decision is:




I confirm that I have given my decision to the member of staff.

I have informed them that they have five working days in which to invoke their right
to a personal hearing with the Pro-Rector (delete if not applicable).


Signed: _________________________________________ Date: ____________


This Sheet (Sheet 4) with copies of Sheets 1-3 should now be sent to
Personnel.
__________________________________________________________________
For Personnel Use Only

Received ______________________ (date)
Action taken ______________________ (date)

Notes:



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