probation (ordinance procedure) · contact - comments alun reynolds – geraldine mcaughtry . page...

UNIVERSITY OF LEICESTER ORDINANCE

PROBATION

(Ordinance Procedure)

For use in:

All Divisions/Schools/Departments/Colleges of the University

For 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 Ballots

13 June to 6 July 2011

Launch Date 12 September 2011

Contact - Comments Alun Reynolds – Geraldine McAughtry

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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)

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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;

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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.

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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.

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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).

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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.

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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.

4.4. The line manager and the member of staff should agree the schedule for

review meetings (e.g. dates and times) during the first week of employment.

4.5. The line manager must arrange and communicate the dates of review

meetings in advance. The line manager and the member of staff must prepare

and ensure that review meetings reflect the true circumstances of probation.

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4.6. Normally, a line manager should outline the following during a review

meeting:

recognise achievement and praise performance, where appropriate;

review timekeeping and attendance;

discuss performance against agreed objectives;

review training and development requirements and provide feedback on

training and development undertaken;

explore areas of concern and performance issues;

identify areas for improvement and set an improvement period;

provide appropriate guidance and support;

agree any changes to the objectives;

confirm date of next review meeting.

4.7. The line manager must keep a written record of each review meeting, ideally

signed by the member of staff.

4.8. Any difficulties or performance issues should be discussed with a member of

HR as early as possible. The line manager (having consulted HR) will

identify and address the issues with the member of staff in an informal

meeting, as soon as possible. In these circumstances, it may not be

appropriate for the line manager to defer the issue to the next scheduled

review meeting.

5. Dealing with unsatisfactory progress

5.1. Where the line manager is concerned about the progress of a new member of

staff, on the grounds of under-performance, they must consult HR

immediately.

5.2. Depending upon the degree of under-performance, the line manager may alter

the prescribed timescales of review meetings (having consulted HR).

5.3. Where the line manager and HR agree that it is appropriate, a member of HR

may attend review meetings. In such circumstances, the member of staff may

be accompanied by a Trade Union representative or work colleague.

5.4. Where a member of staff is under-performing, an agreed plan of support,

training and development will be implemented to enable the member of staff

to improve their performance, where possible.

5.5. Where progress is unsatisfactory, the line manager will meet with the member

of staff on an informal basis to:

identify and discuss the performance issues;

explain which objectives are not being met;

outline the timescale for demonstrating the expected standard;

agree support, guidance or training;

allow the member of staff to clarify issues, ask questions and respond to

the issues identified;

give a clear and unambiguous message that an improvement is required;

outline the implications of not meeting the expected standards and objectives;

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agree a course of action and date(s) for an improvement period/review meeting.

5.6. After the meeting, the line manager will write to the member of staff (having

consulted HR) outlining the points above.

5.7. Where performance does not improve during the set improvement period, the

line manager may extend probation or invoke the formal probation procedure

(described later in this document).

6. Extending the Probationary Period (all other staff)

6.1. A line manager (in consultation with HR) may exercise the right to extend a

probationary period, by up to three months where:



a manager does not have sufficient evidence to confirm that the expected

standard of performance has been reached within the first 6 months of

employment;

exceptional circumstances have had an impact on performance.

6.2. Where the probationary period is extended, the line manager will meet with

the member of staff before the original end date of the probationary

period to explain:

the reason(s) for the extension



areas requiring improvement;

arrangements for monitoring and measuring improvement;

the consequences of not meeting the expected standard of performance.

6.3. It is recommended that the line manager writes to the member of staff after

the meeting, outlining the above.

7. Assessment of Probation (all other staff)

7.1. HR will ask line managers to make a final assessment of the success of the

staff member‟s probationary period, no later than the start of the 5th

month of

the probationary period. Where the probationary period has been extended,

HR will ask line managers for this information no later than the start of the 8th

month of the probationary period.

7.2. The line manager is normally required to make a final assessment of the

success of the staff member‟s probationary period and inform HR of their

assessment by the end of the 5th


7.3. Where the probationary period has been extended, the line manager is

required to provide a final assessment to HR no later than the end of the 8th


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7.4. Where HR does not receive an assessment from a line manager about the staff

member‟s performance by the end of the 5th

month of the probationary period

(or in the case of an extended probationary period, the end of the 8th

month of

probationary period), a member of HR will contact the relevant Head of

College/Division, copying the line manager into the communication.

7.5. Where the line manager considers that the performance, conduct, timekeeping

and attendance of the member of staff is satisfactory, the line manager will

request approval from the relevant body/person to confirm the successful

completion of the staff member‟s probationary period.

8. Approval of Probation (all other staff)

8.1. The line manager will request approval of probation from the relevant

manager – “the approver” (see Appendix 2), confirming that the member of

staff fully meets the standard expected for the relevant grade and post. HR

will be copied into the communication.

8.2. The approver will confirm their decision, in writing, to HR and the line

manager.

8.3. On confirmation from the approver, the line manager will meet the member

of staff and confirm successful completion of the Probationary period.

8.4. After the meeting, the line manager will contact HR and confirm that the

meeting has taken place. HR will subsequently inform the member of staff,

in writing, of successful completion of probation. A copy of the letter will be

placed on the staff member‟s personnel file.

9. Procedural Modifications for HR Staff (Grades 6 and above)

9.1. Appendix 4 sets out the procedural modifications for HR Staff on probation in

respect of:

Assessment of probation.

Approval of probation.

Extension of probation.

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FORMAL PROBATION PROCEDURE

(for all staff, except Academics)

1. Formal Probation Procedure

1.1. Where a member of staff fails to achieve the expected standards of

performance for their grade or role, they may be dismissed with notice or pay

in lieu of notice.

1.2. Where a member of staff fails to achieve the expected standards of

performance for their grade or role, a line manager may initiate the formal

probation procedure at any time during the probationary period.

2. Summary Probation Report

2.1. To initiate the formal probation procedure, the staff member‟s line manager

must compile a summary probation report for the chair of the probation

hearing to include all relevant information to support the view that the staff

member is under-performing.

2.2. Upon receipt of the summary probation report, the chair of the probation

hearing will write to the member of staff giving a minimum of five working

days‟ notice of the hearing. The member of staff will also be sent, with the

letter, a copy of relevant paperwork to support the view that the staff member

is under-performing. The member of staff will be informed of their right to be

accompanied by a Trade Union representative or work colleague.

2.3. The letter will also inform the member of staff that where he/she believes that

the probation issues involve Academic Freedom, the member of staff must

notify the Chair of Staffing Policy Committee, in writing, within 5 working

days of the date of the probation hearing notification letter, to request the use

of the modified procedure set out in Appendix 3.

2.4. Where the member of staff does not raise any issues of Academic Freedom

with the Chair of Staffing Policy Committee within 5 working days of the

date of the formal letter, the formal probation procedure will continue without

procedural modifications.

2.5. Where the member of staff raises an issue of Academic Freedom with the

Chair of Staffing Policy Committee within 5 working days of the date of the

formal letter, an initial assessment of the case will be made by a panel in

accordance with Section 1 of Appendix 3.

2.6. Where the Academic Freedom panel decide that a case involves Academic

Freedom, procedural modifications set out in Appendix 3, will be applied.

2.7. Where the Academic Freedom panel decide that a case does not involve

Academic Freedom, the procedural modifications set out in Appendix 3, will

not be applied.

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3. Probation Hearing

3.1. The probation hearing will be chaired by the relevant individual (see

Appendix 2 for guidance).

3.2. Attendees at the probation hearing will normally include:

the member of staff;

the Trade Union representative or work colleague of the member of staff;

a member of HR;

the staff member‟s line manager; and

a note-taker.

3.3. During the probation hearing, the chair will:

ask the line manager to confirm the areas of unsatisfactory performance,

citing relevant examples;

ask the line manager to confirm the process and outcomes of informal

attempts to improve performance;

ask the line manager to evaluate the probationary period;

permit the member of staff to fully state their case, clarify issues and respond to

the issues identified.

3.4. All parties will have the opportunity to ask questions.

3.5. The member of staff has the right to call witnesses. Where the member of

staff wishes to call witnesses, the request must be made to the chair at least 72

hours in advance of the hearing. Please refer to the Witnesses section in the

Probation Ordinance Policy.

4. Probation Hearing Outcome

4.1. The chair (or panel) will decide the outcome of the probation hearing, which

may be to:

revert to an informal approach;

take action under an alternative University policy (e.g. Discipline Ordinance);

review the job design, responsibilities, reporting line or contract terms;

provide appropriate training or development opportunities;

redeploy the member of staff (in consultation with the receiving area);

recommend the dismissal of the member of staff.

4.2. The member of staff will normally be informed of the outcome within five

working days of a decision being reached (except where dismissal is

recommended). A copy of the letter will be sent to HR.

4.3. In cases of dismissal, the ratification procedure (below) will be followed.

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5. Probation - Ratification of dismissal

5.1. Where dismissal is recommended, the chair of the probation hearing will

compile a dismissal report to include all relevant documentation (including a

summary of the probation hearing) and will send the report to HR.

5.2. HR will forward a copy of the dismissal report to the ratifying manager (see

Appendix 2 for guidance) to consider the final outcome and if appropriate, to

ratify the termination of employment.

5.3. The ratifying manager will contact HR to confirm his/her decision after

considering the dismissal report.

5.4. The ratifying manager may choose:

To ratify the proposed dismissal;

Not to ratify the proposed dismissal;

To remit the case back to the original chair of the probation hearing for

further consideration;

To confirm an alternative decision that would have been open to the chair

of the probation hearing.

5.5. Where a ratifying manager has concerns about the proposal to dismiss, a

meeting will be arranged with the ratifying manager, the chair of the

performance management hearing and a member of HR to decide a way

forward.

5.6. The ratifying manager will contact the chair of the probation hearing and HR

to confirm their decision, in writing.

5.7. Where the proposal to dismiss is ratified, the chair of the probation hearing,

having consulted with HR, will normally write to the member of staff within

10 working days. The letter will state:

the reason(s) for dismissal;

the date on which employment will end;

details of the notice period or details of payment in lieu;

confirmation of the right to appeal.

5.8. All parties involved in the probation hearing will forward all written

documentation to HR, where it will be placed on the staff member‟s

personnel file.

6. Right of Appeal

6.1. There is no right of appeal against the outcome of the informal probation

process.

6.2. A member of staff has the right to appeal against dismissal, which could

include any of the following grounds:

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failure to follow the Formal Probation Procedure;

disproportionate sanction;

new evidence;

relevant evidence which was not taken into account.

Notification of Appeal

6.3. A letter stating the grounds of the appeal must be submitted, in writing to the

Director of HR, within 10 working days of the date of the written

confirmation of the decision.

6.4. Where the member of staff believes that the performance issue(s) involve

Academic Freedom, he/she must state this in their appeal letter and request

the use of the procedural modifications set out in Appendix 3. An initial

assessment of the case will be made by a panel in accordance with Section 1

of Appendix 3.

6.5. Where the member of staff does not raise any issues of Academic Freedom in

their appeal letter, Procedure A will continue, without procedural modifications.

6.6. Where the Academic Freedom panel decide that a case involves Academic

Freedom, procedural modifications set out in Appendix 3, will be applied.

6.7. Where the Academic Freedom panel decide that a case does not involve

Academic Freedom, the procedural modifications set out in Appendix 3 will

not be applied.

6.8. The Director of HR will notify the relevant person who will hear the appeal

(see Appendix 2 for guidance).

Constitution of the Appeal Hearing

6.9. An appeal will normally be heard by the relevant person (see Appendix 2 for

guidance).

6.10. In cases where the issue(s) involve Academic Freedom, the procedural

modifications set out in Appendix 3 will apply.

6.11. An appeal will normally be chaired by a person who is more senior than the

person who chaired the probation hearing. To ensure independence and

objectivity, the person(s) hearing the appeal should not have been involved in

the matter, previously.

6.12. Attendees will normally include:

the relevant member of staff;

the Trade Union representative or work colleague of the staff member;

the chair of the formal probation hearing;

a member of HR (not previously involved); and

a note-taker.

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The Appeal Hearing

6.13. An appeal hearing will normally be held within 15 working days of the appeal

being lodged.

6.14. An appeal hearing is not normally a re-hearing of the case. It is a review of

the case by a person (or panel) tasked with hearing the appeal.

6.15. The person (or the chair of the panel) who heard the appeal will confirm the

outcome to the member of staff, normally within 10 working days, in writing.

Where further investigation is required, he/she will confirm the outcome to

the member of staff as soon as reasonably practicable.

6.16. There is no further right of appeal.

Remit of person (or panel) hearing the Appeal

6.17. A person (or panel) hearing an appeal may interview key individuals (such as

the chair of the probation hearing or line manager) involved in the case to

clarify information, where required, as part of the appeal process.

6.18. Where required and HR deem it appropriate, key individuals (such as the

chair of the probation hearing or line manager) may choose to be

accompanied to an appeal meeting by the relevant member of HR who

supported them prior to appeal.

6.19. The person (or panel) hearing an appeal may:

allow it (in whole or in part);

dismiss it (in whole or in part);

substitute any lesser alternative penalty that would have been open to the chair

of the probation hearing who heard/pronounced the original decision.

6.20. The decision made by the person (or panel) who hears an appeal is final.

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APPENDIX 1

Probation Ordinance

Roles and Responsibilities

All parties involved in the Probation Ordinance must conduct their behaviour in an appropriate

and professional manner - treating all parties with respect and dignity.

1. Staff Management Group (SMG)

The Staff Management Group (SMG) is responsible for:

1.1. The strategic management of academic performance across the University.

1.2. Considering probation reports for academics and HR (above Grade 6).

1.3. Extending probationary periods for academics and relevant HR staff, where

necessary.

1.4. Ensuring the appropriate management of probation cases across the institution.

1.5. Considering reasonable adjustments to a staff member‟s responsibilities

where there are legitimate reasons which might be affecting their

performance.

1.6. Challenging Heads of Department on the management of probation cases,

where necessary.

1.7. Approving successful completion of probationary periods for academics and

HR staff.

1.8. Triggering formal proceedings, where SMG considers that the staff member is

under-performing.

2. Line Manager or Head of Department

The line manager or Head of Department is responsible for:

2.1. Understanding and following the Probation Ordinance (Policy & Procedure).

2.2. Ensuring that job descriptions and person specifications are up-to-date and

accurately reflect the competencies and responsibilities required of the role

before monitoring begins.

2.3. Ensuring that members of staff have an appropriate formal or informal

induction.

2.4. Stating the expected standards of performance so that this is clearly

understood and documented, at the outset of employment.

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2.5. Communicating the expected standards of performance in formal and

informal situations.

2.6. Ensuring that members of staff have a reasonable and realistic workload and

that, where possible, they are adequately equipped to perform the role.

2.7. Providing feedback to all members of staff under their management.

2.8. Providing support and assistance to help a member of staff reach and maintain

the required standards of work.

2.9. Identifying poor performance and dealing with issues immediately, ensuring

minimum disruption to the business, service needs and staff morale.

2.10. Ensuring that performance issues are managed in a sensitive, fair and

consistent manner whilst maintaining confidentiality, dignity and equality of

opportunity.

2.11. Asking a member of staff, in a sensitive and appropriate manner, to inform

them of any reason(s) which might be affecting their performance.

2.12. Considering reasonable adjustments to a staff member‟s responsibilities

where there are legitimate reasons which might be affecting their

performance.

2.13. Documenting and recording informal review meetings and on completion of

an informal process, forwarding all documentation to HR.

2.14. Writing and sending summary probation reports (where required) to HR.

2.15. Writing and issuing formal letters to members of staff, (seeking guidance

from HR) during the formal probation procedure.

2.16. Preparing for formal probation hearings, including setting dates for meetings,

writing letters and formulating questions to ask of all the relevant parties.

2.17. Chairing formal probation hearings (including asking questions of all the

relevant parties).

2.18. Informing, in writing, the member of staff (on the advice of HR) of the outcome

of a formal probation hearings. In cases of dismissals, this must first be ratified

by the relevant person (see Appendix 2 for guidance).

2.19. Writing and sending dismissal reports (where required) to HR.

2.20. Attending appeal meetings, if required, to give evidence.

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3. Panel Members at a Formal Probation Hearing

The panel member is responsible for:

3.1. Attending a formal probation hearing in the role of a panel member (not advocate).

3.2. Asking questions during a formal probation hearing, where appropriate.

3.3. Providing comments, where requested, by the chair of a probation hearing.

3.4. Reaching a decision on the performance issue(s) with the chair.

4. Ratifying Manager

The ratifying manager is responsible for:

4.1. Reviewing and considering the dismissal report to ensure fairness and

consistency in decision making prior to termination of employment.

4.2. Meeting with the chair (or panel) of the probation hearing and a member of HR

to discuss the case further where he/she has any concerns about the decision to

terminate employment.

4.3. Deciding on the appropriateness of termination of employment where this has

been proposed by the chair (or panel) of the probation hearing, or otherwise to

consider alternative action:

Not to ratify dismissal;

Remit the case back to the original chair (or panel) of the probation hearing

for further consideration.

Confirm an alternative outcome that would have been open to the chair (or

panel) of the probation hearing

4.4. Communicating his/her decision, in writing, to HR

5. Member of staff

The member of staff is responsible for:

5.1. Understanding the Probation Ordinance (Policy & Procedure).

5.2. Performing their duties to a satisfactory level.

5.3. Engaging in any training or development that will enable them to reach the

required level of performance in the role.

5.4. Understanding that where their performance is unsatisfactory, their line manager

or Head of Department will be obliged to take action to address the situation.

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5.5. Responding fully and appropriately to corrective measures identified and

introduced by their line manager.

5.6. Informing their line manager of any issues which may have an adverse or

detrimental effect on performance, including (but not limited to) issues

relating to the workplace, health or disability.

5.7. Seeking assistance, guidance and support from their line manager if

concerned about issues which may have a detrimental or adverse effect on

their performance.

5.8. Assisting to obtain or provide medical reports, if required.

5.9. Cooperating fully during the informal and formal stage(s) of the Ordinance.

5.10. Identifying and requesting the support of a Trade Union representative or

work colleague during the formal probation procedure.

6. Staff Companion (Trade Union Representative or Work Colleague)

The role of the staff member‟s companion is as follows:

6.1. The companion has the right to:

attend formal meetings;

address formal meetings at the outset (to put forward a case);

address formal meetings at the end (to sum up a case);

respond to any views expressed at formal meetings;

confer with the member of staff during formal meetings;

ask questions during meetings.

6.2. The companion does not have the right to:

answer questions on behalf of the member of staff i.e. where a question is

directed at the member of staff;

address formal meetings if the member of staff does not wish it;

prevent any party from explaining their case.

7. Division of Human Resources

The Division of Human Resources is responsible for:

7.1. Ensuring that formal proceedings comply with employment law and the

University‟s policies and procedures.

7.2. Advocating on the part of the institution by acting as an independent,

advisory guardian and regulator of the process. Members of HR will not be an

“advocate” for a manager or a member staff.

7.3. Providing advice to managers and staff, in accordance with employment law

and the University‟s policies and procedures.

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7.4. Attending and recording formal meetings. Members of HR are not permitted

to chair formal meetings or undertake the role of decision maker on individual

cases. Any questions from HR must be asked through the chair of a formal

hearing/meeting.

7.5. Pointing out any issues in respect of employment law or the University‟s

policies and procedures during formal meetings.

7.6. Advising managers on the content of informal and formal letters to members

of staff.

7.7. Accompanying the chair of a hearing to an appeal meeting, where requested.

7.8. Collating documentation from all relevant parties involved in the formal

probation procedure and filing it appropriately.

7.9. Monitoring the outcome and impact of the Probation Ordinance on protected

groups of staff as per the University‟s equal opportunities obligations.

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APPENDIX 2

Levels of Management normally involved in operating the

Probation Ordinance

This table is for “Guidance” purposes only. The University may use its discretion to depart from

the table below, where appropriate. For cases involving Academic Freedom, procedural

modifications will be made as detailed within the text of the Probation Ordinance Procedure.

Grade of

staff

member

Chair of

Informal

Probationary

meetings

Person/body

responsible

for approving

Probation

Person/body

responsible for

Formal Probation

Hearing

Person/body

responsible

for

Ratification

to Dismiss

Chair of

Appeal

(against

dismissal)

Grade 7 &

below

(in Colleges)

on 6 months‟

probation

Line Manager Head of College

or Director of

College

Administration

Line Manager or

manager of an

equivalent grade from

another department

Head of College

or Director of

College

Administration

A PVC or

Director of

College

Administration,

not previously

involved, or the

Registrar

Grade 7 &

below

(in Corporate

Services &

Library) on 6

months‟

probation

Line Manager Head of

Division

Line Manager or

manager of an

equivalent grade from

another department

Head of

Division,

University

Librarian or

Registrar

Registrar or

University

Librarian, if not

previously

involved, or any

PVC

All other

Grade 8s (in

Colleges) on 6

months‟

probation

Line Manager Head of College

or Director of

College

Administration

Relevant panel* Vice-Chancellor A panel

comprising 3 Lay

Members of

Council,

nominated by the

Chair of Council

Grade 8s

(in Corporate

Services &

Library) on 6

months‟

probation

Line Manager Head of

Division

Relevant panel* Vice-Chancellor A panel

comprising 3 Lay

Members of

Council,

nominated by the

Chair of Council

Grade 6 &

above in HR

on 6 months‟

probation

Line Manager

Staff

Management

Group (SMG)

Relevant panel* A Pro-Vice-

Chancellor, not

previously

involved

Vice-Chancellor

Academic

Grade 8s

(in Colleges)

on 3 years‟

probation

Head of

Department

Staff

Management

Group (SMG)

See Performance

Management

Ordinance

See

Performance

Management

Ordinance

See Performance

Management

Ordinance

* For Academic staff the relevant panel will be the Chair of Staffing Policy Committee (as Chair) and 2

members of Senate. For all other staff, the relevant panel will be the Registrar and 2 senior members of staff.

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APPENDIX 3

ACADEMIC FREEDOM IN PROBATION

1. Initial Assessment (Academic Freedom)

1.1. Upon receipt of a staff member‟s request to use the modified probation

procedure for Academic Freedom, a panel will be convened, within a

reasonable timescale, to make an initial assessment of whether the

performance issue(s) potentially involve Academic Freedom.

1.2. The panel will comprise the Chair of Staffing Policy Committee (as chair)

and two academic peers drawn from members of Senate, 1 from the same

college and 1 from a different college, who have not previously been

involved, nominated by the chair.

1.3. In cases where it is not possible to appoint a panel member internal to the

University with the required expertise and/or independence, the chair may

decide to appoint an external panel member instead.

1.4. Once the panel has made their decision about whether the performance

issue(s) potentially involve Academic Freedom (or not), the outcome will be

confirmed by the chair to the member of staff, in writing, within a reasonable

timescale. The letter will state whether the modified procedure will be used

(or not).

1.5. Where the panel decide that a case does involve Academic Freedom, the

procedural modifications, set out below, will be applied.

1.6. Where the panel decide that a case does not involve Academic Freedom, the

procedural modifications, set out below, will not be applied.

2. Academic Freedom Procedural Modifications

2.1. A panel will hear the initial stages of the case up to and including the

probation hearing.

2.2. The panel will normally comprise the Chair of Staffing Policy Committee (as

Chair) and two academic peers drawn from members of Senate, 1 from the

same college and 1 from a different college. They will be the same panel

members that undertook the initial assessment of the case, in order to ensure

continuity.




2.4. An appeal will normally be heard by a panel. The panel will normally

comprise the Chair of Council or nominee (as Chair) and two academic peers

drawn from members of Senate, 1 from the same college and 1 from a

different college, who have not previously been involved, nominated by the

chair.

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2.6. To ensure independence and objectivity, the panel members hearing the

appeal should not have been involved in the matter, previously.

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APPENDIX 4

PROCEDURAL MODIFICATIONS FOR HR STAFF ON PROBATION

(Grade 6 and above)

1. Assessment of Probation Assessment for HR Staff

1.1. The HR Director is required to prepare a probation report for Staff

Management Group (SMG) for each member of HR staff (Grade 6 and above)

required to serve a Probationary period.

1.2. The HR Director will submit a probation report to SMG so that the report can

be considered before the staff member reaches 6 months‟ service.

1.3. The probation report will normally be prepared by the Head of Department, in

consultation with the staff member‟s mentor (where the role requires a

mentor).

2. Approval of Probation for HR staff

2.1. Where there are no concerns with the performance of a member of HR (Grade

6 and above) in their probation report, successful completion of their

probationary period will normally be confirmed by SMG.

2.2. SMG will confirm the decision, in writing, to the member of staff, copying

the HR Director.

2.3. A copy of the letter will be placed on the staff member‟s personnel file.

3. Extending the Probationary Period for HR Staff

3.1. Where a member of HR (Grade 6 and above) is under-performing, the HR

Director may request an extension to a staff member‟s probationary period by

submitting a request to SMG to extend the probationary period.

3.2. SMG has the authority to extend a probationary period by up to 3 months.

3.3. 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

explanations to SMG.

3.4. SMG will normally extend a probationary period where:



a manager does not have sufficient evidence to confirm that the expected

standard of performance has been reached within the first 6 months of

employment;

exceptional circumstances have had an impact on performance.

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3.5. 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 HR Director and will state:

the reason(s) for the extension



areas requiring improvement

arrangements for monitoring and measuring improvement;

the consequences of not meeting the expected standard of performance.

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