Agenda item AOB Time Choose an item. Minutes. Internal publication A revised approach to Probation Right of appeal

Transcription

1 Meeting Executive Team Date 15/09/2014 Agenda item AOB Time Choose an item. Minutes Proactive publication Title Presenter ICO Plan aim Information rights strategy aim Issue Decision Financial impact Risks No Internal publication No A revised approach to Probation Right of appeal Simon Entwisle 6. An efficient ICO well prepared for the future Choose an item. One of the proposed amendments to the Probationary Policy is to remove the appeal stage. Does the ICO want to offer the right of appeal to employees who do not pass probation under the probation policy. None The risk remains minimal. Under the current policy the right to appeal has been exercised once but the outcome was not changed. Background The ICO s current approach to Probation was felt to be too prescriptive and the processes that managers were required to follow did not encourage managers to proactively deal with performance issues during probation. A revised approach to Probation was presented to the Leadership Group. One of the suggested changes was to remove the appeal stage from the 1

2 Probationary Policy. It was decided that this decision would be taken by the Executive Team. The Benefits The ICO want to establish a strong direction in managing and engaging staff with openness and integrity. The revised approach empowers and encourages managers to address performance issues resolutely, fairly and promptly. This process allows flexibility and supports first line managers in their pivotal roles. Probation is the first stage of performance management. A simplified process will build a stronger performance culture, creating an environment where mangers can deliver operational excellence. In addition to empowering managers the revised approach will reduce time and costs, particularly that of the ICO s senior management team. Risks The risk of an employee claiming they have been unfairly dismissed is low. Probationary periods themselves do not have a particular standing in Employment law. What really matters for the purposes of assessing whether an employee has a valid claim to pursue, is the requisite service for an unfair dismissal claim which is currently 2 years. There are a number of exceptions to the 2 year rule (where there are issues concerning discrimination, health and safety and whistleblowing) but generally speaking, most probationers who fail there probationary period will not have the requisite service nor a complaint which falls within one of the exceptions. That being the case, only a small number of employees would be able to argue that they should have been given the right to appeal as part of a Tribunal claim (and therefore a small risk in not offering the right of appeal). That needs to be considered against the resources available to the business i.e. the expense in time and cost of offering an appeal to every employee who is dismissed within the probationary period. This approach would be a cultural change for managers at the ICO. There is an argument about how comfortable the management team are with the removal of the appeal stage from the Probationary policy. However if an employee is dismissed and is unhappy with the decision, they could of course avail themselves of presenting a grievance. 2

3 Options considered Remove the appeal stage from the Probationary policy. Retain the right of appeal but alter the process to be less onerous by reducing the number of attendees and reconsidering who and at what level the appeal should be dealt with. Continue with the current process, where a hearing is chaired by a member of the Leadership Group and any appeals are heard by a member of the Executive Team. Staffing issues This approach is less onerous on staff and the management team, it is not envisaged that managers would need specific training to enable them to work within the guidelines of this policy. A manager s guide will be produced and circularised to relevant staff. Devolved office issues Accommodation issues Environmental issues Privacy issues Equality and diversity issues Equality and diversity considerations are central to all aspects of HR. We have monitoring procedures in place. Any equality and diversity issues would be considered at the tri-party meeting. 3

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5 Probationary Policy 1

6 Purpose of the Policy The ICO operates probationary periods for all new staff. The period of probation is for six months, or as set out in the contract of employment. The probationary period allows the probationer to show that they: Understand and meet the standards required for the role. Are reliable. Are a suitable ICO employee. The ICO will provide each new employee with help, feedback and support at a level appropriate to the role. There will also be learning and development opportunities available to assist them to meet the required performance standards. The ICO will identify and determine any training and development needs that have to be met to enable the probationer to undertake their role effectively. Where the probationer is not meeting the expected standards for their role, this will be explained to them and they will be given the opportunity to make the necessary improvement within a defined time period. Where the probationer fails to meet the required standards within the time period set, the ICO will terminate their employment. What the ICO expects from probationers The ICO expects all probationers to take responsibility for their own performance and development, clarifying expectations with their line manager if they are unclear about them. Action for Managers Managers are expected to: Set objective standards of performance as soon as reasonably practicable and monitor these throughout the probationary period. Carry out regular one-to-one meetings during the probationary period, which will feed into the end of the probation review. 2

7 Identify where performance, conduct and/or attendance is not satisfactory at the earliest opportunity and meet with the probationer. Be clear and constructive about required improvements, the relevant timescales and any appropriate support or intervention that might be needed to assist improvement. There is no requirement to wait for any specific probationary review meeting, although this may be used if it is timely. Where the line manager considers that the probationer has failed to meet the required standards the line manager should arrange a meeting with their line manager and a member of HR. In this meeting the manager will present the rationale for their decision to terminate employment. Managers must seek advice from HR where absences may be disability or pregnancy related, to ensure any provisions under the Equality Act have been considered. Sickness absence is measured in line with the ICO s Sickness Absence Policy. Probationary Outcome meeting The probationary outcome meeting will have one of three outcomes: Successful probation This should be confirmed at the probationary outcome meeting which should take place six months after employment begins. The manager will complete the probationary paperwork (see Appendix 1) and forward it to HR who will confirm to the employee in writing that their probationary period has been successfully concluded. Extension of probation If the line manager, their line manager and HR adviser from HR conclude there has been a significant, but not sufficient, improvement and that a reasonable extension of the review date would be likely to result in the probationer meeting the required standard of performance, then they may set a new review date of between one and three months. Such an extension should be exceptional. The decision to extend probation will be confirmed in writing. Unsuccessful probation If the line manager, their line manager and adviser from HR conclude that, the probationer: o Has not met the standards required for the role and/or 3

8 o Is unreliable or unsuitable for example because conduct or attendance is below that which is expected. The line manager will hold a probationary outcome meeting with the probationer at which their employment will be terminated. The employee will be offered the right to be accompanied at this meeting by a colleague or trade union representative. Managers may proceed to the probationary outcome meeting at any time during the probationary period when the line manager demonstrates that they have: o Discussed the matters of under-performance, conduct or attendance with the probationer; o Provided assistance or training, but the probationer has failed to address the issues or failed to develop their skills or engage fully within the time scales agreed; o In the case of sickness absence, continuing in employment for the full six month period would still be insufficient to satisfy the requirement. o And that a meeting has been held between the manager, their line manager and a member of HR to discuss the rationale behind the decision. Any termination of employment will be confirmed in writing. Active performance management will continue throughout employment, with lapses in performances dealt with as and when they arise. 4

9 Appendix 1 Probationary Review Documentation 5

10 ICO probationary review Name Department Job title Line manager Review period New starter objectives: Objectives OBJECTIVE Measure; OBJECTIVE Measure; OBJECTIVE Measure; OBJECTIVE Measure; Probationary Review Characteristics/ Values Attendance Satisfactory Unsatisfactory Comments Time keeping Quality of work Quantity of work Communication Skills (verbal and written) Application of the Values Optional additional areas of assessment (role specific) 6

11 Main achievements and other general comments Sign off 1. Has the probationer passed their probationary period? Yes/No 2. If no how long is the person s probationary period extended for? (Maximum 3 Mths) if not applicable move onto Q3 3. Has the probationer failed their Yes/No probation? Please insert a summary of answers to 2, and 3 below if the answer to 1 is No. Manager s Signature Date: 6 month review reminders: You must now send an to HR Team to confirm 6 month meeting has taken place. A completed Probationary Development Plan with any training needs should be included if necessary. 7

12 A copy of this paperwork should be forwarded to the employee and HR Team. ICO Probationary review paperwork - following an extension. (Manager to complete) Name of reviewee Department Job title Line manager Extension Period (in weeks or months) New starter objectives: Objectives (Comments to briefly outline how employee has met objectives) (Insert objective) (Insert measure) Manager comments: (Insert objective) (Insert measure) Manager comments: (Insert objective) (Insert measure) Manager comments: (Insert objective) (Insert measure) Manager comments: End of extension review: Characteristics/ Values Attendance Satisfactory Unsatisfactory Comments Time keeping Quality of work Quantity of work Communication Skills (verbal and written) Application of the Values 8

13 Optional additional areas of assessment (role specific) Main achievements and other general comments Sign off: 1. Has the probationer passed their extended probationary period? Yes/No 2. Has the probationer failed their extended Yes/No probation period? If you have answered yes to question 2 please insert a summary of your reasons below. Manager s signature Date: 9

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15 Probationary Flowchart New Starter Regular reviews Pass Tri-party meeting Extend Fail 1