Probation

Guidance on completing the Staff Probation Agreement (.pdf)
Probation Compact (.doc)

1. Purpose of the Probation Agreement

When a new member of staff is appointed at Aberystwyth University, it is a contractual requirement they complete a period of probation. At the beginning of this period, the new member of staff (probationer) is assigned a mentor, who, along with the Head of Department (HOD) must establish a list of objectives to be met by target dates throughout the probation period. Progress in meeting these objectives must be monitored at regular intervals by the HOD, before a decision is made on whether or not to recommend to the Probationary Appointments Committee (PAC) that the probationer continue in post following probation. To enable the PAC to reach its decision, the Agreement must:

    • devise a set of objectives against which the probationer’s performance can be measured.
    • identify training and development needs that enable the probationer to meet these objectives. 

2.    Setting Objectives

Each objective must be:

    • Specific
    • Measureable
    • Attainable
    • Realistic
    • Timetabled

 3.    Timetable  

    • AMP staff are subject to a probation period of 18 months
    • Academic Staff are subject to a probation period of 3 years
    • Research Staff at grade 6 are subject to a probation period of 12 months; at grades 7-9, a probation period of 18 months. 

It takes time for new members of staff to settle into their new positions, but it is important targets and objectives are set as soon as possible. To strike a balance between enabling staff to settle and ensuring they focus as soon as is practical, all staff must complete the ‘Plan of Objectives and Outcomes’ section within three months of being in post.

HODs are sent a copy of the Agreement Form along with other paperwork relevant to the post, at the beginning of the appointment period. Upon receipt of the Form, HODs, mentors and probationers must agree upon a set of dates on which to meet at key stages of the probation period:

    • Within 3 months to agree upon objectives and training requirements.
    • At the end of the first year (six or nine months for research staff) to complete the first report.
    • At the end of the second year (academic staff only) to complete the second report.
    • At the end of the probationary period to complete the final report.

HR will remind staff at key stages when reports are due, however it is important staff proactively engage with the process and take the initiative in moving it forward by completing the required reports on time. This ensures fairness to the probationer and enables a timely and appropriate decision to be made regarding the confirmation of an appointment. 

4.    The Mentor

The mentor plays a very important role in the probation process therefore it is essential an appropriate individual is chosen. The mentor provides the probationer with emotional and practical support throughout the probation period and may be asked to intervene in difficult situations. To ensure an effective mentor is appointed, the individual chosen should satisfy the following criteria: 

  • Is not a member of staff within the same department as the probationer; this ensures potential conflicts of interest are avoided.
  • Is in a more senior position than the probationer; this ensures the probationer can benefit from the mentor’s experience.
  • Is a member of staff within the same job category as the probationer, e.g. AMP, Academic or Research Staff; this ensures advice relevant to the probationer’s position can be given and a shared understanding can be established.

5.    How to complete the Agreement

Responses provided in the Agreement must be concise and focussed to enable the progress of the probationer to be easily assessed. Additional information can be appended to the form or written into the Annexes, if necessary (in the case of academic staff), but staff are encouraged to focus on providing concise answers within the main body of the form, supplying objectives of the highest level and avoiding excessive detail that does not strengthen their case. The parameters of the tables have been fixed to ensure responses remain succinct.

All columns in the ‘Plan of Objectives and Outcomes’ must be completed by the HOD, in consultation with the probationer.

All staff must complete the relevant parts of Section 1 – Personal Details.

All staff should check their contracts to ensure they complete the sections relevant to their job category. 

5.1 Admin, Managerial & Professional (AMP) Staff

5.1.1 Duties 

Posts within the AMP category are varied; therefore the ‘Duties’ column has been left blank to be completed, as appropriate. This flexibility allows the agreement to be tailored to different posts, to which tasks and objectives can be more easily matched.

 5.1.2 Tasks and Objectives

Responses to both sections should focus on the main tasks to be undertaken by the probationer, and the highest level objectives to be achieved. Staff should only provide focussed examples that reflect upon them best and should avoid unnecessary detail that does not strengthen their case.

5.1.3 Training requirements

New members of staff may require training to meet some of the objectives set in the Agreement. If any training is necessary, the probationer and mentor must discuss training opportunities with HR/CDSAP. Any training needs should be noted as bullet points.

5.1.4 PAC Chair’s comments on initial Targets and Objectives

Once duties have been clarified, and targets, objectives and training requirements have been set, the form must be submitted to the Chair of the PAC for comment and approval within three months of the probationer beginning in post. The Chair may need to discuss or clarify certain aspects of the plan with the Probationer and/or HOD before agreement can be reached and the plan finalised and signed. Once objectives have been approved, the process of achieving the objectives and undertaking any training can begin.

5.1.5 Comments, 1st, and final reports

9 and 18 months into the probation period, the probationer, mentor and HOD must discuss whether or not the objectives set for each period have been met. Comments by the HOD need not be detailed, rather they should simply state whether or not the objectives have been met and whether or not the identified training has been undertaken. Reasons for objectives having not been met should be provided, along with solutions to enable them to be met in the second half of the probation period.

5.1.6 Deviations from Objectives

It is recognised that staff duties can change over time, which could affect the nature of the objectives set and the ability of the probationer to meet them. Any deviations from the agreed objectives should be noted, along with reasons for those deviations, given. This will ensure probationers are not unfairly penalised for any changes in circumstances that have affected their performance.

The probationer and HOD should meet informally at regular intervals throughout the probation period to quickly resolve any difficulties experienced by the probationer in meeting his/her objectives. It is the responsibility of the probationer to report any difficulties, and it is the responsibility of the HOD to endeavour to resolve those difficulties. Resolving matters as swiftly as possible ensures the performance of the probationer can be measured as fairly and as accurately as possible.

5.2 Academic Staff 

5.2.1 Duties

The duties of Academic staff generally fall into three categories – Teaching (inc. supervision and examining); Research (inc. publications and grant applications); and Service (inc. admin, activity in subject area and knowledge exchange) and the form has been divided into these categories.

5.2.2 Objectives

Objectives for each duty must be identified and set. It is recognised it is not always possible to provide specific and detailed objectives e.g. the number of students to be taught, as they are dependent on external circumstances out of the probationer’s control, e.g. the number of students registering on a particular module. Consequently, the focus should be on setting broad objectives, noted as bullet points, such as: 

    • To develop a taught Master’s module.
    • To publish ‘x’ amount of journal articles/chapters/books.
    • To generate ‘x’ amount of research grant income.
    • To present at ‘x’ amount of conferences each year.

PLEASE NOTE:

If more specific information on teaching. supervision and administrative duties is known, staff can note it in Annex A, if they wish.

If more specific information on research activities is known, staff can note it in Annex B, if they wish.

Completing the annexes is optional. Staff should focus on noting broad yet concise objectives in the ‘Plan of Objectives and Outcomes’.  

5.2.3 Target dates

Ambitious yet achievable target dates by which to meet each objective should be set.

5.2.4 Training requirements

New members of staff may require training to meet some of the objectives set in the Agreement. If any training is necessary, the probationer and mentor must discuss training opportunities with HR/CDSAP. Any training needs should be noted as bullet points.

5.2.5 PAC Chair’s comments on initial Targets and Objectives

Once duties have been clarified and targets, objectives and training requirements set, the form must be submitted to the Chair of the PAC for comment and approval within three months of the probationer being in post. The Chair may need to discuss or clarify certain aspects of the plan with the Probationer and/or the Head of Department before agreement can be reached and the plan finalised and signed. Once objectives have been approved, the process of achieving the objectives and undertaking any training can begin.

5.2.6 Comments, 1st, 2nd and final reports

At the end of each year of the probation period, the probationer, mentor and HOD must discuss whether or not the objectives set for that year have been met by the target date. Comments need not be detailed rather they should simply state whether or not the objectives have been met and whether or not the identified training has been undertaken. Reasons for objectives having not been met by the target date should be provided, along with solutions to enable them to be met during the following year of probation.

5.2.7 Deviations from Objectives

It is recognised that staff duties can change over time, which could affect the nature of the objectives set and the ability of the probationer to meet them. Any deviations from the agreed objectives should be noted, along with reasons for those deviations, given. This will ensure probationers are not unfairly penalised for any changes in circumstances that have affected their performance.

The probationer and HOD should meet informally at regular intervals throughout the probation period to quickly resolve any difficulties experienced by the probationer in meeting his/her objectives. It is the responsibility of the probationer to report any difficulties, and it is the responsibility of the HOD to endeavour to resolve those difficulties. Resolving matters as swiftly as possible will ensure the performance of the probationer can be measured as fairly and as accurately as possible.

5.3 Research Staff

5.3.1 Duties

The duties of research staff are varied but generally fall into four categories – Research, Project Management, Dissemination, and Teaching. The grid also includes the category of ‘Other’, where staff can list duties not covered elsewhere.  Duties should be noted as bullet points.

5.3.2 Objectives

Broad objectives for each duty should be identified, for example:

    • To publish ‘x’ amount of journal articles/chapters/books
    • To generate ‘x’ amount of research grant income
    • To present at ‘x’ amount of conferences each year
    • To develop a collaborative research group with staff at other institutions 

5.3.3 Target dates

Ambitious yet achievable target dates by which to achieve each objective should be set.

5.3.4 Training requirements

New members of staff may require training to meet some of the objectives set in the Agreement. If any training is necessary, the probationer and mentor must discuss training opportunities with HR/CDSAP. Any training needs should be noted as bullet points.

5.3.5 PAC Chair’s comments on initial Targets and Objectives

Once duties have been clarified, and targets, objectives and training requirements set, the Agreement must be submitted to the Chair of the PAC for comment and approval within three months of the probationer being in post. The Chair may need to discuss or clarify certain aspects of the plan with the Probationer and/or the Head of Department before agreement can be reached and the plan finalised and signed. Once objectives have been approved, the process of achieving the objectives and undertaking any training can begin.

5.3.6 Comments, 1st, and final reports

Staff employed on grade six - Six months and twelve months into the probation period, the probationer, mentor and HOD must discuss whether or not the objectives have been met by the target dates, and to provide comments.

Staff employed on grades 7-9 - nine and eighteen months into the probation period, the probationer, mentor and HOD must discuss whether or not the objectives have been met by the target dates, and to provide comments.

Comments by the HOD should not be detailed, rather they should simply state whether or not the objectives have been met and whether or not the identified training has been undertaken. Reasons for objectives not having been met by the target dates should be provided, along with solutions to enable them to be met.

5.3.7 Deviations from Objectives

It is recognised that staff duties can change over time, which could affect the nature of the objectives set and the ability of the probationer to meet them. If there have been any deviations from the agreed objectives, they should be noted, along with reasons given for those deviations, given. This will ensure probationers are not unfairly penalised for any changes in circumstances that have affected their performance.

To resolve any difficulties experienced by the probationer in meeting his/her objectives as soon as possible, it is recommended the probationer and HOD meet informally at regular intervals throughout the probation period. It is the responsibility of the probationer to report any difficulties, and it is the responsibility of the HOD to endeavour to resolve those difficulties. Resolving matters as swiftly as possible will ensure the performance of the probationer can be measured as fairly and as accurately as possible.

5.4 All staff 

5.4.1      Comments on the 1st Report

After the first year (six or nine months for research staff), the HOD must indicate whether he/she expects to be able to recommend that the appointment be approved at the end of the probation period. Comments should be brief and should avoid duplicating information provided in other sections of the report. The probationer is able to comment if he/she disagrees with any aspect of the report.

Both sets of comments must be submitted to the PAC for consideration, which will provide a response within 14 days? of consideration.

Academic staff must repeat the above process at the end of the second year of their probation period.

5.4.2      Comments on the Final Report

At the end of the probation period, HODs must indicate whether or not they wish to recommend the appointment be confirmed. Comments should be brief and should avoid duplicating information provided elsewhere in the Agreement. The probationer has an opportunity to respond to these comments if he/she disagrees with them.

The Final Report is considered by the PAC as soon as possible following the completion of the probation period. The Probationer and HOD may be interviewed as part of this review. A decision on whether to confirm the appointment will be based on performance during the probation period. While the report is being considered, the appointment will remain unconfirmed. When confirmation is given, the appointment will take effect from the end of the probation period. 

6.    The Appeals Process

Following the recommendations of the PAC to the Professional Development and Staffing Committee, The Probationer will have the opportunity to raise these concerns:

6.1  Where the PAC recommends to the Vice-Chancellor that the appointment should not be confirmed, the Probationer will be informed in writing of the reasons for such a recommendation.

6.2  The probationer has the right to bring an appeal if they believe there has been a defect in the process. The request must be made in writing to the HR Department, providing a brief outline for the reasons of appeal.

6.3  In the event that the Probationer wishes to appeal against the recommendation of the PAC, the Vice-Chancellor will invite a Pro Vice-Chancellor or Dean of the relevant Faculty to form an Appeals Panel. The panel will comprise a lay member of Council and a Head of a Cognate Department. The probationer will be provided with a minimum of 14 days notice of the Appeal Hearing date.

6.4  The Probationer will be asked to provide detailed written notification of the grounds of their appeal no less than 5 days before the Appeal Hearing is called. The Probationer will be asked to attend the Hearing and may be asked to answer any questions arising out of the evidence provided. The Probationer may choose to be accompanied by a colleague who may be a representative or a recognised Trade Union at the Appeal Hearing.

6.5  Where the Appeal Panel confirms there has been a defect in the applied process, the decision of the Appeal Panel will stand, and will be reported to the Vice-Chancellor for confirmation. Formal confirmation of having successfully completed probation will be sent to the Probationer shortly thereafter.

6.6  Where the Appeals Panel upholds the decision that the appointment is to be terminated at the end of the period of probation, the Probationer will be informed of this decision in writing, including the reasons for the decision.

6.7  If the Appeals Panel upholds the decision that the probation period be extended, the notification will include a statement of targets to be achieved by the probationer during the extended probation period. The statement will be drawn up by the PAC. At the end of the extended probation period, the appointment will remain unconfirmed while reports are being considered. Reports will be considered as soon as possible and, in any event, within six months. No further periods of probation may be applied at this stage.