NEWCASTLE UNIVERSITY PROBATION POLICY

Size: px
Start display at page:

Download "NEWCASTLE UNIVERSITY PROBATION POLICY"

Transcription

1 Appendix 1 NEWCASTLE UNIVERSITY PROBATION POLICY Introduction It is important to the achievement of the University s mission that newly appointed/promoted employees are integrated into their new roles as quickly as possible and are provided with clarity of expectations and appropriate support to enable them to maximise their performance. It is equally important during this early phase of employment that performance (including conduct) is continually assessed and that any areas for development are addressed. The University s probationary procedure provides a framework within which this assessment can be carried out. The University s Performance and Development Review (PDR) process is integrated with the probation process so that there is a clear mechanism for assessment, feedback and career development. The PDR form will be the primary documentation upon which recommendations under the probationary procedure will be based and recorded. Induction period Induction is a central component of the early period of employment which helps employees to settle into their new work environment and reach their full potential as quickly as possible. As part of induction the employee s line manager should meet with them during the first few weeks of their employment to formulate an initial work plan which will include any agreed development needs, and the objectives and quality measures against which their performance will be measured. This should be recorded on the PDR form, recognising that there will be no assessment against the previous year s objectives Managing performance issues in advance of review periods There may be instances when an employee s performance gives rise to concern early in their employment. Whenever this occurs it should be addressed immediately so the employee is aware of the nature and extent of the shortfall against expected standards. Notes should be kept of all meetings held to discuss the employee s performance. Where the line manager has concern that the employee s performance will not meet a satisfactory standard despite the advice and support offered, a report must be prepared, after consultation with HR, for consideration by the reviewing manager in advance of the review period. The report may recommend termination of appointment. The content of the report and its recommendations must be shared with the probationer. Appeals against non-confirmation Where an employee wishes to appeal against a decision not to confirm their employment, they should set out in writing the grounds of their appeal and submit it to the Assistant Director of HR (Operations) within 7 working days of receipt of written notification of the decision not to confirm their employment. Appeals will be heard by the following: Academic staff grades F to H Research staff grades F to G Non-academic staff grades F to H Non-academic staff grades A to E Chair of Staff Committee or nominee. Dean of Research Registrar or nominee Head of Service/Registrar or nominee The employee will be given the opportunity to meet the person hearing the appeal and may be accompanied at any such meeting by a trade union representative or work colleague. Any appeal hearing should be held within 14 working days of receipt of the request to appeal. The decision will normally be communicated in writing to the employee within 2 working days of the hearing. There will be no further right of appeal. It should be noted that any termination resulting from a decision not to confirm employment shall remain in force whilst an appeal is being heard. Page 1 of 6

2 Appendix 2 PROBATION PROCEDURE FOR ACADEMIC STAFF (UP TO AND INCLUDING GRADE H) The probationary period for employees in this group is two years with review periods as set out below. It is important that when assessing performance, due regard is given to the academic job summary and whether there is any emphasis on certain parts of the broader academic role. In the case of clinical academic staff, it is recognised that under Follett arrangements appraisal is jointly carried out by a University and NHS appraiser. Accordingly, assessment of performance in both academic and clinical activity will be used when making recommendations on probation. The University provides support for newly appointed teachers through the Newcastle Teaching Award (NTA). It is a requirement that newly appointed academic staff complete the NTA during their 2 year probationary period unless they can demonstrate equivalent prior learning. More information on the NTA can be found at First Formal Review (12 months) progress will be formally reviewed against the initial work plan. Based on this review, the line manager will make a recommendation to the appropriate reviewing manager as to the assessment of performance, which will be categorised as one of the following: satisfactory; satisfactory with reservations; unsatisfactory. The recommendation must be discussed with the probationer before submission. The reviewing manager will confirm the recommended assessment or may alter the assessment to one of the other formal categorisations. HR will confirm the decision in writing. New objectives should be agreed between the employee and their line manager for the following review period. Final Review (22 months) At the final review period, the line manager will hold a PDR with the employee during which their progress will be formally reviewed. Based on this review, the line manager will make a recommendation to the appropriate reviewing manager. The recommendation must be discussed with the probationer before being submitted. The options available are as follows: Where the reviewing manager agrees at the final review stage that the probationer s performance is satisfactory, HR will be asked to write and confirm the employee s appointment. manager at the end of the extended probationary period. This option of extension should only be used on an exceptional basis. Page 2 of 6

3 Non-confirmation of appointment Line Manager/Reviewing Manager It is recognised that heads of academic unit rarely carry out the PDR s for all academic staff in their unit. However, for the purposes of making a recommendation on probation, the line manager will be the head of academic unit and the reviewing manager will be the Faculty Pro-Vice-Chancellor. Page 3 of 6

4 Appendix 3 PROBATION PROCEDURE FOR NON-ACADEMIC STAFF (GRADES A TO E) The probationary period for employees in this group is six months with a single review period as follows: Formal Review (5 months) progress will be formally reviewed against the initial work plan. Based on this review, the line manager will make a recommendation to the appropriate reviewing manager. The recommendation must be discussed with the probationer. The options available to managers are as follows: Where the reviewing manager agrees that the employee s performance is satisfactory, HR will be asked to write and confirm the employee s appointment manager at the end of the extension to the probationary period. This option of extension should only be used on an exceptional basis. Non-confirmation of appointment Page 4 of 6

5 Appendix 4 PROBATION PROCEDURE FOR NON-ACADEMIC STAFF (GRADES F TO H) The probationary period for employees in this group is one year with a single review period as follows: Formal Review (10 months) progress will be formally reviewed against the initial work plan. Based on this review, the line manager will make a recommendation to the appropriate reviewing manager. The recommendation must be discussed with the probationer. The options available to managers are as follows: Where the reviewing manager agrees that the employee s performance is satisfactory, HR will be asked to write and confirm the employee s appointment manager at the end of the extension to the probationary period. This option of extension should only be used on an exceptional basis. Non-confirmation of appointment Page 5 of 6

6 Appendix 5 PROBATION PROCEDURE FOR RESEARCH STAFF (GRADES F TO G) The probationary period for employees in this group is one year with a single review period as follows: Formal Review (10 months) progress will be formally reviewed against the initial work plan. Based on this review, the line manager will make a recommendation to the appropriate reviewing manager. The recommendation must be discussed with the probationer. The options available to managers are as follows: Where the reviewing manager agrees that the employee s performance is satisfactory, HR will be asked to write and confirm the employee s appointment manager at the end of the extension to the probationary period. This option of extension should only be used on an exceptional basis. Non-confirmation of appointment Line Manager/Reviewing Manager It is recognised that PDR s for research staff are typically carried out by principal investigators (PI). Therefore, the PI will be the line manager responsible for making a recommendation on probation and the head of academic unit will be the reviewing manager. Page 6 of 6