njc maternity pay and leave scheme · web viewprobationary period - guidelines for managers and...

Probationary Period -

Guidelines for Managers

Lead Directorate and Service:

Corporate Resources - Human Resources

Effective Date: 27 July 2020Contact Officer/Number: Employment Services Advice Centre / 391221Approved By: CMT: 11.6.07, Min: 10088

CMT: 3.12.12, Min: 14712CMT: 21.11.16, Min: 17255CMT: 27.7.20, Min:19433

ContentsProbationary Period - Guidelines for Managers...........................................11. Introduction...........................................................................................12. Purpose of Probation.............................................................................13. Probationary Period...............................................................................14. Satisfactory Performance During Probationary Period..........................25. Unsatisfactory Performance During Probationary Period......................26. Unsatisfactory Conduct/ Attitude During Probationary Period...............37. Termination under Probation.................................................................4Probationary Period Review Forms..............................................................5Procedure to be Followed at a Probationary Meeting or Appeal................15

A2 - Probationary Period - Guidelines for Managers

Probationary Period - Guidelines for Managers

These guidelines apply to all Council employees except centrally employed staff on teacher terms and conditions.

1. Introduction

It is the Council’s policy that all new employees are given a probationary period of six months (26 weeks) duration from the first day they start work for the Council.

It may be considered necessary to allow a longer probationary period for some posts, if for instance the post was term time, cyclical and/or with seasonal variations, or was highly specialised and it was considered that six months would not be a long enough probationary period to fully evaluate a new employees ability. The employee will be informed of this prior to their employment commencing and this will be recorded in their contract of employment. An extension to any existing probationary period may be considered as appropriate, in exceptional circumstances. If an extended probationary period is necessary the probationary period must not be extended without prior consultation with Human Resources and will be discussed with the employee.

The probationary period applies to new appointees to East Riding of Yorkshire Council even where employees have previously worked for another local authority. This includes temporary employees and those on fixed term contracts. Even if the contract is short term or fixed

term, the probationary period guidelines must still be applied from commencement of employment, as some individuals may eventually become permanent employees of the Council. It does not apply to employees who transfer internally to a new post or from one Directorate to another within the Council. If the employee is still within their original probationary period this will continue in the new post.

This process runs concurrently with any other professional induction and assessment process. This includes but is not limited to the Assessed Year in Employment for newly qualified social workers.

These guidelines have been produced to assist Managers to implement and apply the Council’s probationary period. Directors must ensure that all levels of management are aware of the probationary period guidelines. Human Resources should be contacted if there are any areas of doubt or uncertainty on any matter during an employee’s probationary period.

2. Purpose of Probation

Good management practice requires that all new entrants to the Council will undergo a period of planned induction, training and assimilation into the team, Directorate and Council. The probationary period should be used to continually monitor and assess a new employee’s performance, competence, ability, aptitude, behaviour, attitude and conduct in their new role and to induct, train and advise

1


employees of their duties and responsibilities.

At the end of the probationary period and only on receipt of confirmation from the employee’s Line Manager will the employee’s appointment be confirmed in writing by Employment Services.

It should be noted that the probationary period is not a fixed term contract and must not be used in such a manner.

3. Probationary Period

All new employees to the Council must complete the Council’s corporate induction programme on line, in addition to an appropriate service induction, as soon as possible following appointment. The induction programme initially covers general topics about working within a local authority and more specifically within East Riding of Yorkshire Council, and sets out the Council’s expectations and provides relevant employment information and references to employment policies. Following on from this initial induction process the employee will be given an induction into their Directorate, department and specifically their job. A programme of planned performance appraisal covering the next five months must be implemented and reference should be made to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, where appropriate.

The programme of planned induction and continuous appraisal must be maintained

throughout the probationary period. It is the employee’s Line Manager’s responsibility to ensure that this continual assessment is carried out and any problem areas are highlighted and addressed through appropriate training, support and guidance.

The set of forms attached at Appendix A have been designed to help with the appraisal process of new employees who are subject to a probationary period. There are five appraisal forms, one for each month of the probationary period.

At the end of each month a review meeting must be arranged between the employee and Line Manager in order to discuss the progress of the employee and their assimilation into the new post. The review is a two way process in order to give feedback to the employee and address any issues that may have arisen. The relevant month’s form must be completed and signed by both the employee and Line Manager, the employee keeping one copy and the original placed on file with the Line Manager.

Following the fifth and final month review the decision must be made whether to confirm employment or not.

4. Satisfactory Performance during Probationary Period

If the process of probation has been carried out successfully and the employee meets the required levels of performance for their post, the Manager must complete the ‘final reporting form’, and return it, along with all previous forms to Employment Services as

2


soon as possible. Employment Services will inform the employee that they have successfully completed their probationary period. This can only be done on completion and receipt of the final reporting form by the Line Manager.

Follow-on reviews will take place on a six monthly basis as part of the established system of Employee Development Reviews.

5. Unsatisfactory Performance during Probationary Period

If at any time during the probationary period the performance of the employee, capability to perform the role, attendance issues etc. give cause for concern (which can include not being up to the required standard), the issues must be raised and discussed with the employee when they arise as well as at the monthly probationary review meetings. The employee must be advised how they can improve and the Line Manager must consider any concerns raised by the employee and/or any suggestions they may make as to how their Line Manager or the Council can help. Such discussions will be documented on the probationary review form. A letter must be sent to the employee confirming details of the discussion and actions agreed, keeping a copy on file and sending one to Employment Services with a copy of the probationary form.

Any training needs that have been identified must be addressed as quickly as possible in order to assist the employee to

improve their performance and supervision meetings can be held on a more frequent basis if required.

If, after a further month, the employee’s performance at work shows no improvement, this must again be discussed with the employee who must be told why their performance remains unsatisfactory and warned that failure to improve in the areas indicated may lead to termination of their employment. The Manager must complete the probationary review form and again confirm the details in writing to the employee. A copy of the probationary form and letter must be sent to Employment Services.

If unsatisfactory performance continues with no improvement then termination of employment prior to the end of the probationary period can be considered. Advice must be taken from Human Resources before any decision is made to terminate an employee’s employment and the procedure at section 7 and Appendix B must be followed.

In certain circumstances it may be possible to extend the probationary period beyond the six months (26 weeks), if for example the employee has been absent through sickness, in order to ensure that there has been enough time to assess the employee’s suitability for the post. An extension may also be agreed if there have been performance issues or failure to follow procedures that require further monitoring. It may also be necessary to extend the probationary period to ensure

3


that if termination is considered the procedure in relation to employment status is followed and that due notice is given. Advice and agreement must be sought from Human Resources and a letter must be issued to the employee confirming the extension of the probationary period.

If attendance levels are unacceptable during the probationary period, advice must be sought from Human Resources because of the impact of the Equality Act in relation to disability.

6. Unsatisfactory Conduct/ Attitude during Probationary Period

Where problems have been identified with an employee’s attitude or conduct a Manager must address these as they arise. They must not defer raising concerns until the monthly review meeting. Closer supervision should be arranged over a short period of time. All such discussions must be documented and a letter must be sent to the employee confirming these details, keeping a copy on file and sending one to Human Resources along with a copy of the probationary form as appropriate.

If unsatisfactory conduct/attitude continues and/or there is no prospect of improvement then early termination of employment prior to the end of the probationary period can be

considered. Advice must be taken from Human Resources before any decision is made to terminate employment and the procedure at section 7 and Appendix B must be followed.

If the conduct is considered to be a disciplinary issue advice must be sought from Human Resources as soon as possible. The Council’s Disciplinary and Capability Policies and Procedures do not apply to employees within their probationary period, however the principles of the Disciplinary Policy and Procedure will be followed where issues would normally be considered a disciplinary matter. If conduct or capability issues are not dealt with within the probationary period, the disciplinary or capability procedures will have to be followed upon expiry of the probationary period. Where serious misconduct is deemed to have occurred during the probationary period, employment can be terminated sooner than the expiry of the probationary period. As always a, proper and adequate investigation must be made into the facts prior to a decision being made to terminate employment and to ensure good practise the principles of the Disciplinary Procedure should always be followed.

7. Termination under Probation

If the employee’s performance has failed to improve in the manner indicated to them by the end of the fifth month (or before in certain circumstances), the decision must be made whether or not to terminate employment. This decision must be taken by

4


the appropriate level of management in consultation with Human Resources and before any action is taken. If termination is considered, the employee will be sent a letter inviting them to a meeting to discuss their continued employment status. The procedure to be followed at the meeting is attached at Appendix B. The employee has the right to be accompanied by a trade union representative or work colleague at the meeting.

It is important that the final meeting to review the employee’s performance is held before the expiry of the six month probationary period. Sufficient time must be allowed to give notice to the employee to enable termination to take effect within the probationary period. Verbal notice should be given at the meeting followed up by confirmation in writing. The ‘Final (month 5) Probationary Review Form’ must be sent to Employment Services immediately after the meeting in order for them to issue the employee with the required termination letter.

In normal circumstances the statutory minimum notice period of seven days will apply for employees under probation, however where an employee’s actions are deemed to constitute gross misconduct the Council may summarily dismiss, without notice.

Employees who are dismissed within the probationary period have a right of appeal. An appeal must be made in writing to the Head of Service or delegated representative who will also hear

the appeal and must be received within 14 calendar days of the date of the letter confirming the dismissal.

Although employees who are within their six month probationary period cannot make a claim of unfair dismissal, claims can be submitted to an Employment Tribunal for other matters such as sex, race, disability and age discrimination, for asserting a statutory employment right, breach of contract etc. Therefore it is essential that the Manager consults with Human Resources prior to making a decision to dismiss any employee.

5


APPENDIX A

Probationary Review Form – Month 1Stage 1 – Probationary Planning Conversation - To be carried out in the first weekStage 2 - 1st Month Probationary Period Review Form - Both the manager and new employee to prepare in advance for the meetingName of EmployeeName of Line ManagerWork basePlease discuss and capture points about the standard the new employee has reached in the following areas. You should refer to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, as appropriate.My WellbeingWhat’s working well?

How can we make things better?

My JobObjectives – what I’m doing

Key Behaviours – how I’m achieving my objectives

Achievements over past month (objectives and behaviours)

My LearningSummarise key learning in the last month

Knowledge, skills and behaviours to work on

6


in the next month

Any Other Comments (including timekeeping, attendance and conduct issues or training and development required). The manager and employee are required to make any necessary comments here

InductionPlease discuss and review:

Completed Induction Checklist Yes No Completed online Corporate induction: welcome, week 1, month 1 Yes No Completed Directorate/service Health and Safety Checklist Yes No

Completed Directorate/service area induction Yes No

Comment below on the items above which are ticked “no” and review week one and month one of the online induction, identify any relevant policies, procedures and guidelines to be read and any items not completed, in particular, any compulsory items, and indicate the reason for any answers

Manager to comment below on overall progress so far and key objectives for next month.

7


Line Manager’s Signature

Employee’s Signature Date

Probationary Review Form – Month 22nd Month Probationary Period Review Form - Both the manager and new employee to prepare in advance for the meetingName of EmployeeName of Line ManagerWork basePlease discuss and capture points about the standard the new employee has reached in the following areas. You should refer to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, as appropriate.My WellbeingWhat’s working well?






8


Knowledge, skills and behaviours to work on in the next month


List below which relevant policies, procedures and guidelines have been read.

Confirm that all outstanding induction items have now been completed (as identified from Month/Form 1 Yes No

Comment below on the items not completed and indicate the reason for any answers

Manager to comment below on overall progress so far and key objectives for next month.

9




Probationary Review Form – Month 33rd Month Probationary Period Review Form - Both the manager and new employee to prepare in advance for the meetingName of EmployeeName of Line ManagerWork basePlease discuss and capture points about the standard the new employee has reached in the following areas. You should refer to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, as appropriate.My WellbeingWhat’s working well?





10






Manager to comment below on overall progress so far.

Does the employee generally reach the required standard required for the role? Yes No

If no what action/training is required to improve job performance? What are key objectives for next month?

11


Who will be responsible for arranging this and by what completion date?



Probationary Review Form – Month 44th Month Probationary Period Review Form - Both the manager and new employee to prepare in advance for the meetingName of EmployeeName of Line ManagerWork basePlease discuss and capture points about the standard the new employee has reached in the following areas. You should refer to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, as appropriate.My WellbeingWhat’s working well?




12







Manager to comment below on overall progress so far.

Does the employee generally reach the required standard required for the role? Yes No

If no what action/training is required to improve job performance? What are key

13


objectives for next month?

Who will be responsible for arranging this and by what completion date?

If job performance does not improve is it likely that the

Retained?

Yes No

Please return copies of all probation forms to Employment services as soon as



Probationary Review Form – Month 55th Month Probationary Period Review Form - Both the manager and new employee to prepare in advance for the meetingName of EmployeeName of Line ManagerWork basePlease discuss and capture points about the standard the new employee has reached in the following areas. You should refer to the job outline and employee specification, the initial development review and the Vision, Values and Behaviours, as appropriate.My WellbeingWhat’s working well?



14







Induction:

Have all the relevant policies, procedures, guidelines as identified been read and understood and actions completed?

Yes No

Does the employee generally reach the required standard required for the role?

Yes No

Do you wish to retain this employee? Yes No Please return a copy of this form to Employment services as soon as possible.


15



APPENDIX B

Procedure to be followed at a Probationary Meeting or Appeal

1. Introductions - the Head of Service, or their nominated representative, will introduce those present and explain why they are there. If the employee has chosen not to be represented he/she will be reminded of his/her right of representation.

2. Purpose - the Head of Service, or their nominated representative, will explain that the purpose of the meeting is to consider whether to terminate their employment in accordance with the Probationary Period Guidelines.

3. Format - the Head of Service, or their nominated representative, will outline the format of the formal meeting and ensure all in attendance understand the meeting process.

4. Management case - the Line Manager will present the management case and will call witnesses, if appropriate, at the end of their presentation. The Head of Service, or their nominated representative, and the employee or representative shall have the opportunity to question the Line Manager and any witnesses who have been called.

16


The Line Manager will have the opportunity to re-examine their own witnesses on any matter referred to in questions. Following questioning witnesses will leave the meeting.

5. Employees case - the employee or representative shall present their case. The Head of Service, or their nominated representative, and Line Manager shall have the opportunity to question the employee and any witnesses who have been called. Following questioning witnesses will leave the meeting.

6. Management summing up - the Line Manager shall sum up the case.

7. Employee summing up - the employee or representative shall have the opportunity to sum up their case.

8. Adjournment - the Line Manager and the employee and representative will withdraw from the meeting.

9. Decision making - the Head of Service, or their nominated representative, in consultation with the Human Resources representative (at Corporate appeal against dismissal stage this will be the Director in consultation with the Human Resources representative, will deliberate in private only recalling the Line Manager and employee to clear points of uncertainty on evidence already given. If recall is necessary both parties must return simultaneously.

10. Announce decision - both parties will return and the Head of Service, or their nominated representative, will normally give the decision with reasons and explain the right of appeal (there is no further right of appeal where one appeal has already been exercised). This will normally be confirmed in writing within seven calendar days. Where the Head of Service, or their nominated representative considers more time is required to come to a decision it is allowable under this procedure although a decision will be made without undue delay.

The procedure to be followed at an appeal meeting to be heard by the Director will be as above however reference to the Head of Service, or their nominated representative, will be replaced by the Director and the employee will normally present their case first.

17

njc maternity pay and leave scheme · web viewprobationary period - guidelines for managers and...

Documents