Bath Spa University

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Probationary Procedure

The following procedure has been agreed with the recognised trade Unions and applies to all staff:

Introduction

These guidelines are intended to support the University's probation process. They are designed to provide a clear and simple process to assist managers with inducting new employees and to ensure equality of opportunity for all employees.

The guidelines have been designed to maximise flexibility to meet the needs of all stakeholders, and any significant variations should be discussed with Human Resources to minimise risk to the University.

All HR Business Partners are able to provide professional advice and support at all stages of the process.

A formal probation procedure helps to ensure that:

• The performance, conduct, attendance, timekeeping and training/support needs of all new employees to the University is assessed fairly, consistently and equally, across the organisation through continuous two-way communication with the line manager.
• Managers provide new employees with the appropriate support, guidance, training, encouragement and feedback.
• Both managers and probationers understand the purpose of the probation

Employees have the right to be accompanied by another person at any formal review(s). The other person shall either be a work colleague or a trade union representative.

The probationary period is for a 6-month duration, as outlined in the employee's employment contract, and confirmed on receipt of confirmation letter presented by the line manager. Existing members of staff who are promoted, re-graded or transferred within the University will not normally be subject to a probationary period unless their initial probation period is not yet completed. In this case, the probation period will be carried over to the new contract and the appointment will not be confirmed until the original period has been successfully completed.

Induction for new employees

1. All new employees are required to attend the overall University Induction, details of which will be sent to the new employee when they start.
2. The line manager is responsible for ensuring that the new employee is inducted locally (i.e. in the School/Department) and given the relevant information necessary to enable him/her to commence work.
3. The line manager should arrange an appointment with the new employee during their first week (but ideally on their first day) of employment. During this meeting, the line manager should clarify the duties and responsibilities of the new employee, in line with the job description as well as the following:
   • Policy and procedures (e.g. absence reporting) that must be followed. Key aspects of role, structure of the department and how it fits within the University structure
   • Skills/competences to be attained
   • Standard of work expected (quality and quantity)
   • Deadlines to be met
   • Behaviour/conduct (including timekeeping and attendance)
   • Working relationships
   • Working environment
   • Training needs including any 'on the job' training
   • Identifying a mentor
   • Any other issues specific to the role/grade.
4. The line manager should set objectives of what should be achieved in the role during the probationary period, which should be clear, specific to the role and measurable.
5. The line manager shall give the employee the appropriate support/guidance (including training) necessary to help them achieve the set objectives.

Probationary Reviews

1. During the probationary period, four formal meetings will be held between the line manager and employee. The first meeting should be held during week 1, with the following three being held at two monthly intervals.
2. The Line Manager should confirm the final agreed dates and times with the employee so that both parties have time to prepare for them and to ensure that meetings remain free of interruptions.
3. During the formal reviews, line managers should cover the following:
   • Praise good performance/achievements so far
   • Review timekeeping/attendance, including sickness absence
   • Discuss the employee's performance to-date against the objectives set at induction
   • Review/agree training/development needs
   • Identity aspects of performance/conduct that need improving through constructive feedback
   • Explore any problems the employee has encountered in their role
   • Provide guidance/support as appropriate
   • Introduce/agree any changes to the objectives set
   • Confirm the next review meeting
   This should be facilitated by the use of the Probationary Review Forms, as described below.
4. Line managers are advised to hold frequent informal meetings with their employee in order to ensure a good working relationship and feedback on the employee's progress.
5. It is the line manager's responsibility to ensure that reviews are conducted within the timescale described in this policy and that HR is supplied with the appropriate documentation as soon as possible.
6. During the final review, discussions should be held between the employee and their line manager about setting objectives and an individual development plan to be reviewed at their first staff development and review meeting.

Probationary review forms

Before the new employee starts, the line manager should download the Probationary Review forms from the HR web pages: http://www.bathspa.ac.uk/services/hr/for-staff/general-hr-info/probationary-procedure.asp. The forms should be completed to record details of each review (including agreed objectives and set review dates) after each formal meeting. They should be signed by the employee and line manager and then kept in a confidential place for the next review. Any issues arising should be discussed with Humans Resources.

Written documentation is essential to the probation process, as it informs both parties for the forthcoming staff development and review process, on successful completion of the probationary period. Furthermore it will clearly document why an appointment is not confirmed.

Confirmation of appointment

If the employee's performance, conduct, timekeeping and attendance have been satisfactory and fully meet the University's expected standards and if all other new starter paperwork is returned and completed to the line manager's satisfaction, the appointment should be confirmed. HR Admin will provide Line Managers with a letter confirming the employee's successful completion of their probationary period, which will be presented to the employee following the final probation review.

Dealing with unsatisfactory performance

Any difficulties should be addressed as early as possible, it is not necessary to wait for the next formal review and line managers should seek advice from their HR Business Partner whenever an employee's performance/conduct gives cause for concern. If appropriate, the HR Business Partner may be present at formal reviews. You can also hire our Performance Matters DVD to assist you in giving constructive criticism well. Click here for details.

If an employee has problems meeting the required performance standards, appropriate training and support for improvement will be provided. The line manager should meet with the employee as soon as possible to:

• discuss any problems identified
• explain what aspect of the work is not considered satisfactory
• explain which objectives/standards are not being met as well as the shortfall between standards and timescales expected of the employee
• offer remedial guidance and training as appropriate
• give clear early warnings of what may happen if required standards are not met (e.g, extension of probationary period, and/or appointment may not be confirmed)
• clearly explain any necessary improvements
• agree an action plan for improvements and timescales
• record the outcome of the meeting in writing and give a copy to the employee

The employee has the right to invoke the grievance procedure, if they feel that a probationary outcome or decision has been unfair. It may be instigated at any stage of the process, including after a decision not to confirm an appointment. (Further information on the Grievance Procedure is available on the HR website: http://www.bathspa.ac.uk/services/hr/for-staff/core-hr-guidance/grievance-policy.asp.)

Extending the probation period

1. The line manager may decide to extend the probationary period, if there are performance and/or attendance concerns and there is evidence that the employee is likely to improve given extra time.
2. If attendance is a concern the probationary period will not normally be extended, unless the absences relating to a disability or maternity leave.
3. Initially, the probationary period may initially be extended for one month or more, to allow a reasonable amount of time to achieve the actions and standard agreed, however further extensions may be appropriate depending on the circumstances. The probationary period should never be extended for more than a total of three months.
4. Where the probation period is being extended, the following must be discussed between the line manager and employee:
   • reasons for the extension
   • length of the extension period
   • identify any assistance/training to be given during the period of extension
   • areas for improvement and indication of how these will be monitored and measured
   • appointment will be terminated at the end of extension period if the employee fails to meet standards of performance expected for their grade/post
5. At the end of the extended period, the line manager and employee should meet to review progress. If progress, performance and/or attendance are satisfactory, the line manager will recommend that the appointment should be confirmed and will inform Human Resources. HR Admin will then provide the line manager with a letter confirming the employee's successful completion of their probationary period, which will be presented to the employee following the final probation review.
6. If at the end of the extended period progress is still considered unsatisfactory, the line manager will inform the employee and make a recommendation that the appointment be terminated, as per below.

Terminating the appointment

1. Where an employee fails to achieve the expected standards of performance for their grade/post, agreed attendance levels, or receives bad references, this shall result in the appointment being terminated, subject to notice, or where appropriate, pay in lieu of notice. The Line Manager will make this decision with guidance from their HR Business Partner and in accordance with points 2-4 below.
2. A decision to dismiss would not normally be expected unless problems had been previously identified and highlighted to the employee and the opportunity for appropriate formal corrective action taken at that time.
3. Reasons for such a decision must be clearly explained to the employee and put in writing before the end of the probationary period (or extended period).
4. Employees will be advised in writing that the appointment shall be terminated and inform them of their last date of service.