Procedure for Reviewing Academic & Academic Related Staff Probationary Appointments

This process applies to:

  • Lecturers
  • Administrators
  • Teaching Fellows
  • Tutors
  • Teaching Assistants

Preamble

Appointments of Academic and Academic Related Staff, are normally made subject to a period of probation indicated in the letter of appointment. This procedure is based on the premise that every new appointment to a Department or Section must be able to contribute to the realisation of Institutional and Departmental aims and objectives, through the support and development of University employees.

The Stakeholders

The Head of Department

The Role of the Head of Department in the Probation process is twofold. The probationary period is an opportunity to identify opportunities for both personal and professional development, and the Head of Department will actively engage with the probationer to identify future training and development needs and will provide support in achieving the identified goals. The Head of Department's role also includes an element of Performance Management, and any areas where further support or training is identified will be monitored and reviewed by the Head of Department throughout the probationary period.

The Mentor

The Head of Department will assign the new staff member to a Mentor who will offer advice, guidance and support to the Probationer throughout the probationary period. The Probationer will be informed of the name and responsibilities of his/her Mentor by the Head of Department on taking up appointment. The Mentor will make contact with the Probationer immediately upon the latter taking up appointment and, if possible, in advance of that date.

Human Resources

The Department of Human Resources is responsible for the successful maintenance of the probation system and will be on hand at all stages to provide guidance on the policy and process, and to provide support in resolving any concerns or disputes which may occur during the probationary period.

Staff Development will be notified by Human Resources of all new appointments so that all new members of staff are included in the induction arrangements for new appointees.

The Probationer

Having accepted the appointment, all members of staff will normally be subject to a period of probation. The Probationer will be provided with opportunities for both professional and personal development, and will be expected to engage with the process and to maximise these opportunities. Where areas requiring development are identified, the Probationer can expect to receive support and encouragement from all parties in achieving the goals identified.

The Probationary Appointments Committee

The Council of the University has appointed a Probationary Appointments Committee (PAC) to review the probationary appointments of Academic and Academic related Staff as defined in accordance with the Charter, and to make recommendations in each case for consideration by the Vice-Chancellor and Principal. The Committee, appointed by the Council, comprises;

  • a Chair (normally a Pro Vice-Chancellor of the University); and
  • a member of the Council, not being a person employed by the University; and
  • three members of the Academic Staff, normally at least two of whom shall be of Professorial status, nominated by the Senate to ensure a range of expertise from a spread of subject areas

The period of membership of the Committee is three years, subject to renewal. The Committee ensures the implementation of current procedures for the training, development, supervision and review of staff on probation.

Terms of Probation

Details of the probationary period will be specified in the letter of appointment that accompanies the contract document. A decision on whether to confirm the appointment will be based on performance during the probationary period specified in the letter of appointment. While a decision is pending, the appointment will remain unconfirmed. When confirmation is made it will take effect from the end of the probationary period.

Where the Probationer is absent on account of sickness or other approved leave of absence for an extended period (normally three months or more), probation may be suspended or extended for such period as may be determined by the Chair of the Probationary Appointments Committee following consultation with the Probationer and the Head of Department concerned.

ALC Staff

All newly appointed members of the ALC Staff will be subject to a standard probation period of two years, unless otherwise agreed with the Chair of the PAC at appointment stage. Heads of Department should communicate any such propsed variation to the length of probation to the Chair of the Probationary Appointments Commitee.

The period of probation may be reduced depending on individual circumstances, and, in exceptional cases, an appointment may be made without a probationary period.

Academic Staff – Teaching only staff and Teaching & Research Staff

All Academic staff will be made subject to a standard probation period of three years, unless otherwise agreed with the Chair of the PAC at appointment stage. Heads of Department should communicate any such propsed variation to the length of probation to the Chair of the Probationary Appointments Commitee.

The period of probation may be reduced depending on individual circumstances, and, in particular cases, an appointment may be made without a probationary period.

Newly appointed members of the Lecturing Staff with less than three years' lecturing experience will, as a condition of their employment, be required to participate in the tHE (Teaching in Higher Education training) programme during their period of probation. Mentors are provided with information about the scheme by the Staff Development Unit, and further information may be obtained from the Staff Development website.

The teaching responsibilities assigned to a newly appointed Lecturer by the Head of Department will be reasonable, taking into account departmental norms, the need to establish a research programme and, where appropriate, participation in the tHEtHE scheme.

For those on Fixed-term Contracts of less than three years duration, the period of probation will be proportionate to the length of the post, and in any case, will be no less than one year. All members of staff initially employed on a fixed-term contract which is subsequently extended will receive a full probation period. The initial period of probation will be taken into consideration when extending probation in accordance with the contract.

Lecturers, whilst on probation, are not normally eligible to apply for promotion to the grade of Senior Lecturer unless their Head of Department makes a special case that they be considered, and the Chair of PAC should be notified in this event.

The Compact

The basis of the probationary scheme is a ‘Compact', or agreement, between the Probationer, the Department, and the University as the employer. The compact contains an agreed plan against which future performance in relation to specified targets is monitored at stages during the probationary period, and where opportunities for development may be identified.

In agreeing the plan, the Chair of the Probationary Appointments Committee will ensure that the objectives set out in the plan provide the Probationer with sufficient opportunity to demonstrate a satisfactory level of performance when reviewed by the Committee at the end of probation. In all elements the Chair of the PAC will wish to be satisfied that the objectives are Specific, Measurable, Attainable, Reasonable and Timetabled.

For Teaching staff this will focus on the following areas:

  • Teaching - in assessing teaching, the Committee will have regard to the volume and quality of teaching and examining undertaken and, where appropriate, progress on the tHE scheme.
  • Research (where appropriate) - the progress made by the probationary Lecturer in research and publication, and where appropriate, the procurement of external funding. He or she will also be expected to have a clearly developed research plan leading to publication in appropriate outlets, consistent with the research strategy of the Department. Research, for the purposes of the probation scheme, is understood to mean publicly disseminated material which is counted by the subject panel for the Probationer's discipline for Research Assessment purposes.
  • Departmental Administration - the extent to which the Probationer has been involved in administrative tasks within the Department and how well they have been performed.
  • Training & Development – commitment to actively engaging with developmental opportunities and to continuing professional development.

For members of the ALC staff, progress will be measured against set objectives specific to the post, to include such areas as:

  • Administrative duties
  • Service provision
  • People management / supervision
  • Financial / Resource Management
  • Any other specialist duties

The performance of the Probationer will be assessed by the PAC against the agreed objectives/programme set out in the plan and those requirements only. The Committee will assess the quality of the work produced under the plan but the Probationer may not be judged against objectives not included in the plan unless a significant variation in objectives and targets has been previously agreed by the Probationer and PAC.

The plan must be amended in the event of changed circumstances and must be communicated to and approved by the Chair of PAC. Any disagreements resulting from the need to modify the plan will be resolved in the first instance by Human Resources or where this is not possible, by the Probationary Appointments Committee in consultation with the Probationer, the Head of Department and the Mentor .

Periods of Absence

Should the Probationer be absent for any significant period of time (greater than one month) for any reason, the Head of Department should inform the Chair of the Probationary Appointments Committee of the circumstances to ensure appropriate support may be arranged for the Probationer to successfully complete the period of probation

The Process

  • During the first 6 weeks of the appointment the Head of Department, in consultation with the new member of staff and his or her Mentor , must prepare a plan of work spanning the period of probation. This plan will set out the objectives/programme depending on the nature of the post.
  • The plan will then be submitted through Human Resources to the Probationary Appointments Committee for approval. In considering the plan, the Chair will wish to be satisfied that the standards set are sufficiently high, the targets realistic, and the projected workload reasonable. He or she 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, normally within two months of the probationer taking up his or her appointment.
  • The compact will be approved by the Chair of PAC (normally within one month of its receipt from the department). The Probationer, Head of Department and Mentor should ensure they keep a copy of the agreed compact for reference purposes. The original and signed copy of the approved plan will be held by Human Resources.
  • The plan will be monitored regularly (at least once a term) by the Head of Department in consultation with the Mentor and Probationer. Where, as a condition of employment, the Probationer is required to participate in the tHE scheme for newly appointed members of the Teaching Staff, progress will be monitored in conjunction with Staff Development. Other training and development needs will also be kept under review and appropriate actions agreed with Staff Development as part of the Mentoring process.
  • The date of the first progress report against the agreed objectives/programme set out in the plan will be agreed as part of the Compact and will be requested by Human Resources half way through the probationary period (e.g. after 18 months for a three year probationary period). This report, prepared by the Head of Department in consultation with the Probationer and the Mentor , will include the following information:
    • A factual report on progress against the agreed objectives/programme set out in the plan;
    • A report from Staff Development if the Probationer is required to participate in the tHE scheme;
  • The report will be signed by the Head of Department and the Probationer prior to its submission to the Committee. If the Probationer disagrees with the report, or certain aspects of it, he or she will have an opportunity to include his or her written comments. The Probationer, Mentor and his or her Head of Department may be interviewed by the Probationary Appointments Committee as part of this review. The first report will be considered by the Probationary Appointments Committee as soon as possible and, in any event, within 6 months after the due date.
  • The PAC will provide the Probationer and the Head of Department with its written comments on the Probationer's progress. If, at the first review stage, the Probationary Appointments Committee has concerns, these will be conveyed in writing to the Probationer, the Head of Department and the Mentor , including specific targets for improved performance required by the time of the final review. Again, copies of the first report should be kept by all parties and Human Resources will retain the original signed compact and report. The Head of Department will be responsible for ensuring that the plan is monitored regularly.
  • At the end of the probationary period a final report will be requested by Human Resources on the Probationer's progress against the agreed objectives/programme set out in the plan covering the period since the first report. This report will be prepared by the Head of Department in consultation with the Probationer and the Mentor , and will again include the following information:
    • A factual report on progress against the agreed objectives/programme set out in the plan;
    • A report from the Staff Development Unit where the Probationer is required to participate in the tHE scheme;
    • If appropriate, a research plan for the Probationer covering the next five years;
    • A recommendation from the Head of Department as to whether or not the appointment should be confirmed.
  • In the event of an individual having been appointed on a fixed term contract which has been subsequently extended, the request for the final report will be withheld until completion of the agreed period of probation.
  • The report will be signed by the Head of Department and the Probationer prior to its submission to the Committee. The report will be considered by the PAC as soon as possible and, in any event, within six months of the end of the probation period. A decision on whether to recommend to Staffing Committee that the appointment be confirmed will be taken based on performance during the probationary period. While reports are being considered, the appointment will remain unconfirmed.
  • Upon completion of the probationary period the Probationer will have an opportunity to include his or her written comments. The Probationer and his or her Head of Department may be interviewed by the Probationary Appointments Committee as part of this review.
  • Where a Probationer is to be seen by the Committee at this stage, he or she will be told in advance the purpose of the meeting and may be accompanied, if desired, by a colleague of his or her choice who may be a representative of a recognised Trade Union. This purpose of the meeting will normally be;
    • to obtain further information and/or to clarify certain specified matters.
  • Following the meeting with the Probationer, HoD and Mentor the PAC will deliberate and make a recommendation to the Vice-Chancellor and Principal;
    • confirmation of the appointment;
      or
    • an extension of the probationary period for a further year;
      or
    • termination of the appointment at the end of the probationary period, subject to six months notice from the date of the notification of the decision or payment in lieu of notice.

The Appeal Process

Following the recommendations of the Probationary Appointments Committee to Staffing Committee, The Probationer will have the opportunity to raise these concerns as follows:

  • Where the PAC recommends to the Vice-Chancellor and Principal that the appointment should not be confirmed, the Probationer will be informed in writing of the reasons for such a recommendation.
  • 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.
  • In the event that the Probationer wishes to appeal against the recommendation of the Probationary Appointments Committee, the Vice Chancellor and Principal 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.
  • 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.
  • Where the Appeal Panel confirms that 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 and Principal for confirmation. Formal confirmation of having successfully completed probation will be sent to the Probationer shortly thereafter.
  • 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.
  • If the Appeal Panel upholds the decision that the probationary period be extended, the notification will include a statement of targets to be achieved by the probationer during the extended probationary period. The statement will be drawn up by the Probationary Appointments Committee. At the end of the extended probationary 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.

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