probation policy july 2019 · 2019-07-28 · 5 probation policy hr16 july 2019 2.3. the standard...

PROBATION POLICY

JULY 2019

This policy supersedes all previous policies for Probation Policy

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PROBATION POLICY HR16 JULY 2019

Policy title PROBATION POLICY

Policy

reference HR16

Policy category HR

Relevant to All Staff (except from medical staff and workers employed by NHSP)

Date published July 2019

Implementation

date July 2019

Date last

reviewed July 2019

Next review

date July 2022

Policy lead Malwina Paulus, HRBP and Head of ER

Contact details Email: [email protected] Telephone: 0203 3177183

Accountable

director Sally Quinn, Director of HR & OD

Approved by

(Group): Joint Policy Group

Workforce Committee

Approved by

(Committee): Workforce Committee

July 2019

Document

history Date Version Summary of amendments

1997 1 Guidelines creates

Dec 2005 2 Guidelines updated

Mar 2009 3 Guidelines updated

Sep 2009 4 Policy reviewed

Sep 2010 5 Appeal timeframe reviewed

Apr 2013 6 Policy reviewed and updated

Jan 2016 7 Policy reviewed and updated

July 2019 8 Timescales updated and policy refreshed

Membership of

the policy

development/

review team

ER Team, Joint Policy Group

DO NOT AMEND THIS DOCUMENT

Further copies of this document can be found on the Foundation Trust intranet.

mailto:[email protected]

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Contents

1. Introduction Page 4

2. Scope of the Policy Page 4

3. Roles and responsibilities Page 5

4. Probation procedure Page 6

5. Step one: first review meeting Page 7

6. Step two: final review meeting Page 7

7. Extensions of probationary period Page 8

8. Termination of employment contract Page 8

9. Interaction with other policies and procedures Page 9

10. Associated documents Page 8

Appendices:

Appendix 1: Flowchart for Probation period procedure Page 10

Appendix 2: Equality Assessment Page 11

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1. INTRODUCTION

1.1. The purpose of the probation period is to support employees and help them to become fully

integrated and productive from the earliest opportunity. The probation period is a two-way process

which provides the following;

• Time to clarify the duties and responsibilities of the job and the standards required of new staff

members.

• Identify development needs and provide learning opportunities to assist the individual in attaining

the required standards of performance, conduct and attendance.

• Providing new employees with the opportunity to receive constructive feedback to make

improvement where required.

1.2. In the case of nursing staff joining pay band 5 as newly qualified nurses, they will also be required to

undertake the requirements as set out within the Trust’s Preceptorship Handbook for nurses.

Successful completion of the Preceptorship programme may contribute to the satisfactory

completion of the Trust’s six month probationary period.

1.3. Newly qualified nurses who commence employment with the Trust without their NMC registration will

be covered by this policy, however their Preceptorship period will only start from the date they

receive their NMC PIN. Their probation period will run for 6 months from this date.

1.4. All employees joining the NHS in clinical roles at bands 2 to 4 will be required to complete the Care

Certificate in the first 12 weeks of their employment. Employees who do not successfully complete

the Care Certificate within the first 12 weeks will have a further opportunity to complete this over a

further 12 week period. Care Certificates which have been issued by other health and social care

provider organisations will be accepted by the Trust. Successful completion of the Care Certificate

will contribute to the satisfactory completion of the Trust’s six month probationary period. Further

information on the Care Certificate is available on http://www.nhsemployers.org/your-

workforce/plan/education-and-training/care-certificate.

1.5. Camden and Islington NHS Foundation Trust believes that it is a mutual benefit to the Trust and

its employees to work in partnership with Staff side. This policy has been developed and agreed by

management and Staff side, in order to ensure staff are treated consistently and fairly.

2. SCOPE OF THE POLICY

2.1. This policy applies to all new employees of the Trust (regardless of whether they have left the Trust

and are returning after a break in Trust employment), except for medical staff.

2.2. This policy does not apply to existing staff members who have had their post substantiated changing

roles internally.

http://www.nhsemployers.org/your-workforce/plan/education-and-training/care-certificate

http://www.nhsemployers.org/your-workforce/plan/education-and-training/care-certificate

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2.3. The standard length of probationary period is six months. There may be circumstances where this

may be extended. The manager will need to discuss extensions of this period with the Employee

Relations Team prior to communicating with an employee.

2.4. Appointment of employees on fixed-term contracts will be subject to a probationary period as set out

in the table below.

2.5. If during the probationary period, an employee changes their role due to e.g. promotion or sideways

moves, their probationary period will continue.

2.6. Contracts of employment will only be substantiated upon successful completion of the probationary

period. Employees will not be issued with a new contract of employment. A summary of the process

is set out at Appendix 1.

3. ROLES AND RESPONSIBILITIES

3.1. Managers are responsible for ensuring that:

• New employees receive appropriate local and corporate induction;

• New employees are aware of the probation process including the timeframes for review

meetings;

• They provide appropriate support to the new employees taking into account any individual needs

in line with the requirements of the Equality Act 2010;

• They clarify the roles and expectations of performance standards of the new employee using the

SMART objectives model;

• They support them to meet these through on-going supervision and coaching, identifying training

needs;

• There are regular meetings with the new employee, at least two of which should meet the

requirements of the formal meetings as outlined in this policy;

• They maintain all appropriate written records of meetings with the new employee;

• They complete all written documents confirming successful completion of probationary period

and substantiation of their post;

• They contact Employee Relations Team when in doubt.

3.2. New Employees are responsible for:

• Ensuring that they are familiar with the Probation Policy and if necessary seek clarification from

their line manager or Human Resources

• Familiarising themselves with and adhering to Cultural Pillars

Length of Fixed Term Contract Probationary period

3 months or less 1 month

Up to 6 months 3 months

Up to 9 months 4 months

Over 9 months 6 months

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• Performing their duties in accordance with their contractual obligations and Trust/department

policies and procedures;

• Engaging in the probation review process

• Seeking support and guidance from an appropriate person such as their line managers, mentors,

supervisors

4. PROBATION PROCEDURE

4.1. Timescales

4.1.1. The standard length of probationary period is six months. There may be circumstances

where this may be extended, e.g. newly qualified nurses awaiting NMC PIN. Extensions of

this period need to be discussed with the Employee Relations Team prior to

communicating with an employee.

4.1.2. It is expected that the first meeting with an employee is completed within the first week

from their start date. This is to ensure that the new employee understands their role and

the process for probationary period, and for the manager to set any specific objectives

and expectations.

4.1.3. First formal review meeting should take place within two weeks either side of the midpoint

of the probationary period.

4.1.4. The final review meeting place within two weeks either side of the end date of the

probationary period

4.2. Managers will write to employees to invite them to the meeting and will keep accurate records.

4.3. The aim of each of the meetings is to review how the new starter is performing against expected

and/or required standards which would be identified within the first week of employment. The

meetings will highlight where the new starter is doing well, establish if any support and development

is necessary e.g. training, reasonable adjustments, discuss any unsatisfactory standards and

expected improvements in performance. These meetings will take place alongside normal clinical

supervision/one to one meetings.

4.4. Although the probation period is normally for 6 months, the contract of employment can be

terminated at any time if:

• Following appropriate investigation, a probationer is found to have committed an act of

misconduct/gross misconduct; or

• Despite appropriate support and a reasonable opportunity to improve, the probationer fails to

meet the required standards; or

• There is a serious performance/capability issue, for example, that could put at risk Trust

property/resources, clients, service quality, other staff or the probationer.

4.5. In such cases the line manager should consult their HR representative as soon as possible to

ensure that this procedure is followed correctly.

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5. STEP ONE: FIRST REVIEW MEETING

5.1. This formal review meeting should take place within two weeks either side of the midpoint of the

probationary period. However this meeting may be brought forward if there are concerns which

should be addressed with the employee.

5.2. A letter inviting the employee to the meeting will be sent giving at least five working days’ notice of

the meeting. In exceptional circumstances, if the meeting may result in the termination of their

contract, the individual will have the opportunity to be accompanied by an accredited trade union

representative or workplace colleague.

5.3. The manager will hold a constructive, two way discussion with the employee about their progress

towards fulfilling their job description. Manager will also discuss any additional support that the

employee may require. The areas covered in the discussion are (but not limited to):

• Performance against the requirements of the role

• Conduct (including conduct with others, such as clients, team, manager, internal/external parties)

• Absence/attendance and time keeping

• The individual’s understanding of the required standards

• Behaviour & performance against the Trust’s values

• Additional learning and development opportunities/other support required

• Any other issues that may affect the individual’s employment

5.4. After the meeting the manager will complete the probation review report taking into account any

comments made by the employee. The report should contain a summary of the individual’s

achievements and any areas that need to be focused on in particular or improved upon in the

remainder of the probation period.

5.5. If the employee is not meeting the required standards half way through their probation period, an

additional action plan should be drawn up for the remainder of the probation period, with specific,

measurable objectives.

5.6. The employee is required to sign the report to agree the accuracy of the report and return a copy to

their manager. If the employee wishes, they can submit written comments to be attached to the

report.

6. STEP TWO: FINAL REVIEW MEETING

6.1. Any objectives and action plans that were set at the first review meeting will be evaluated and

discussed together with the new starter’s overall performance; and an assessment made as to

whether the new starter has met the required standards.

6.2. The manager will review the overall performance, attendance and conduct during the probationary

period at the final review meeting.

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6.3. The final review meeting needs to be held no later than two weeks before the expiry of the probation

period and will have one of three outcomes:

6.3.1. Confirm probationary period has been successfully completed

6.3.2. Extend probationary period

6.3.3. Recommendation of termination of contract.

6.4. Managers must seek advice from the Employee Relations team prior to making any decision to

extend the probationary period or terminate the contract.

7. EXTENSIONS OF PROBATIONARY PERIOD

7.1. Extensions to the probationary period may be considered only in exceptional circumstances such

as:

• Where a manager has been unable to make a fair assessment of the new employee’s

performance e.g. due to a period of absence from work by the manager.

• The new starter has demonstrated a degree of improvement in their performance which indicates

that the required standards of performance could be achieved by an extension to the

probationary period.

7.2. Extension periods can be for up to three months. The employee, after the final review meeting, must

be informed in writing, within five working days of the meeting, of the length of the reasons and the

duration of the extension.

7.3. Managers should continue using an action plan drawn up at the beginning of the process and

update it as necessary.

7.4. Usual informal meetings with the employee should continue to support them and a final review

meeting must be arranged before the end of the extension of the probation period.

8. TERMINATION OF EMPLOYMENT CONTRACT

8.1. In the event that the employee has failed to achieve the objectives and there continue to be serious

concerns about their level of performance, the manager will organise a probationary hearing.

8.2. The line manager will be required to produce a management report with any relevant documentation

such as probation review meetings, informal discussions, action plans, etc. This should be provided

to the employee in advance of the hearing.

8.3. The employee will be notified of the meeting five working days in advance and will be given the

opportunity to be accompanied by an accredited trade union representative or work place colleague.

The employee will be given copies of relevant documents that the manager intends to refer to during

the meeting.

8.4. The chair of the hearing should be more senior than the line manager and should have the authority

to dismiss (please refer to the Disciplinary Policy for guidance). An Employee Relations

representative will also be present at the hearing.

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8.5. At the hearing both the manager and employee will have the opportunity to put forward their case.

8.6. If the decision is to dismiss the employee, they will be issued with contractual notice or pay in lieu of

notice. They will have the right to appeal within 10 working days from the date of the outcome letter

and should follow the appeal procedure stated in the Trust Disciplinary policy. The employee will not

be paid from the point of termination of their contract. In the event of a successful appeal, pay will be

backdated from the date of termination of their contract.

8.7. A letter summarising the decision will be sent to the employee within 10 days of the hearing.

9. INTERACTION WITH OTHER POLICIES AND PROCEDURES

9.1. For all new staff under the remit of the Probation Policy, capability will be dealt with under this policy

rather than the Capability Management Policy. However attendance/absence and conduct will be

dealt with under the relevant Trust policy.

9.2. If an act of possible misconduct/gross misconduct occurs, the manager will follow the Trust’s

Disciplinary and HR Investigations Policies.

9.3. The implementation of any disciplinary or managing attendance procedures will be taken into

consideration during the probation meetings and may have an impact on the final outcome of the

probation.

9.4. All other terms and conditions of employment and policies and procedures will be applicable to

probationary staff, unless otherwise stated.

10. ASSOCIATED DOCUMENTS

• Disciplinary Policy

• HR Investigations Policy

• Managing Attendance and Absence Policy

• Grievance Policy

• Bullying and Discrimination Policy

• Guide to Supporting Staff With Long Term Conditions

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Appendix 1: Probation review flowchart

Summary of probation process

Manager to seek an advice from HR

Manager to produce a management report & organise

a probationary hearing

Decision confirmed in writing to employee within 10 days

of the hearing

PLEASE NOTE: For all new staff under the remit of the Probation Policy, capability, attendance and misconduct will be dealt with under this policy. If an act of possible misconduct/gross misconduct occurs, the manager will follow the Trust’s Disciplinary and HR Investigations Policies. (refer to section 9)

Probation period passed & employment is confirmed (No HR involvement needed)

Termination of employment contract (refer to section 8)

1. Probation Review Meeting is a two way discussion to identify the below: • Performance against the requirements of the role • Conduct (including conduct with others, such as clients, team, manager, internal/external parties) • Absence/attendance and time keeping • Employee’s understanding of the required standards • Behavior & performance against the Trust’s values • Additional learning and development opportunities/other support required • Any other issues that may affect the individual’s employment

Final review meeting to take place before the end of the extension of the

probation period

Final Probation Review meeting to take place no later than two weeks before the expiry of the probation period and will have one of three outcomes

Extend probation period – up to 3 months (only in exceptional circumstances refer to section 7) Manager to seek advice from HR

1st Formal Probation Review meeting to take place within two weeks before or after 3 months of commencing employment (*1)

Conduct early probation review in cases of:

misconduct/gross misconduct

failure to meet required standards despite appropriate support and opportunity to improve

serious performance/ capability issue

Employee commences employment. Contract issued, highlighting probation period requirements (for fixed term contract refer to section 2.4 in the policy)

NB: This is a quick reference guide only. All

employees should ensure that they have

read and understood this policy. All line managers

must attend training.

Manager to meet with new Employee within the 1st Week from their start date to specify objectives and expectations

Manager to seek an advice from ER

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Summary of probation process

Appendix 5 Equality Impact Assessment Tool

Yes/No Comments

1. Does the policy/guidance affect one group

less or more favourably than another on

the basis of:

Race No The principles of the policy apply

to everyone equally. Should

any concerns be identified,

they will be reviewed on

individual basis.

Ethnic origins (including gypsies and travellers) No The principles of the policy apply




individual basis.

Nationality No The principles of the policy apply




individual basis.

Gender No Potential impact on female staff

members who may suffer

from pregnancy related

sickness. This is mitigated

by section 10 of the policy.

Culture No The principles of the policy apply




individual basis.

Religion or belief No The principles of the policy apply




individual basis.

Sexual orientation including lesbian, gay and

bisexual people No The principles of the policy apply




individual basis.

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Yes/No Comments

Age No Older workforce may suffer from

more sickness due to the

nature and the intensity of

work performed. Staff will be

treated equally regardless of

their age.

Disability - learning disabilities, physical disability,

sensory impairment and mental health

problems

No Potential impact on staff whose

sickness is due to disability

related reasons. This is

mitigated by section 11.

2. Is there any evidence that some groups are

affected differently? No The principles of the policy apply




individual basis.

3. If you have identified potential discrimination,

are any exceptions valid, legal and/or

justifiable?

N/A

4. Is the impact of the policy/guidance likely to

be negative? No

5. If so can the impact be avoided? N/A

6. What alternatives are there to achieving the

policy/guidance without the impact? N/A

7. Can we reduce the impact by taking different

action? N/A

probation policy july 2019 · 2019-07-28 · 5 probation policy hr16 july 2019 2.3. the standard...

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