Human Resources. Probationary Period SOP. Document Control Summary

Transcription

1 Human Resources Probationary Period SOP Document Control Summary Status: Version: Author/Title: Owner/Title: Approved by: Ratified: Related Trust Strategy and/or Strategic Aims Implementation Date: Review Date: Key Words: Associated Policy or Standard Operating Procedures New v1.0 Date: August 2016 Jonathan Wright, HR Advisor Alyson Sargeant, Head of Recruitment & Resourcing Policy and Procedures Committee Date: 17 November 2016 Trust Board Date: 17 November 2016 Recruiting, retaining and developing a skilled and flexible workforce December 2016 November 2019 Recruitment, Probation, Probationary Period, New Starters Recruitment and Resourcing Policy 1

2 Contents 1. Introduction Purpose Scope Outline of Probation Procedure Step One: Review Meeting Step Two: Final Review Meeting Appeal Process Interaction with other policies and SOPs Process for monitoring compliance and effectiveness References Introduction All non-medical employment at South Staffordshire and Shropshire Healthcare NHS Foundation Trust (the Trust) is offered subject to the satisfactory completion of a probationary period. The length of the probationary period is normally six months with the option to extend to nine months depending upon circumstances. This SOP sets out the procedure to be followed in order to support the successful completion of the probationary period and how to deal with new starters, ensuring a consistent approach is followed. The Trust is committed to recognising the equitable nature of both delivery against objectives in role and behaviour as indicators of performance, therefore the definition of performance in the context of this SOP relates to expectations linked to both the delivery of objectives in role and behaviour in line with the Trust s Living our Values Framework as is defined in the Trusts PDC policy/sop. 2. Purpose The purpose of the probation period is to ensure that each new employee receives appropriate support and development opportunities to enable them to quickly settle into their new role, and to facilitate them in carrying out their duties and responsibilities to the required standards. The probation period provides time to clarify the duties and responsibilities of the job and the standards required of new members of staff, identify development needs and provide learning and development opportunities to assist the individual in attaining the required standards of performance, conduct and attendance. It is in the interest of all parties for all new staff to meet the required standards and realise the investment made by the Trust in the recruitment, induction and training of new staff. The probation period is a two-way process, which provides new employees with the opportunity to receive constructive feedback, allows them to identify any training and development needs, and encourages, the proactive involvement of staff in the induction process. If problems are identified, new employees should be given the opportunity to improve their performance/conduct/attendance and be provided with any additional support or training that can be identified to assist in this, where appropriate. 2

3 3. Scope This SOP applies to all new employees of the Trust (including those who have been previously employed and are returning after a break in Trust employment and the tenure of the contract), except for medical staff. The probationary period will not be applied to substantive employees of the Trust who move to a different role within the Trust. Local Trust induction principles should be followed in this scenario, should performance concerns arise, these should be addressed through the Trust Performance Management Policy/SOP. 4. Outline of Probation Procedure Throughout the probationary period, the Line Manager is responsible for carrying out monthly 1:1 meetings with the new starter as a minimum or more frequently if required. There will be at least two probation review meetings. The review meetings will take place as follows: Step One Review Meeting (around 3 months following appointment) Step Two Final Review Meeting (around two weeks before the end of the probationary period. The new starter should be invited to attend the first and final review meeting in writing. Template invitation letters are available from HR. The aim of each meeting is to review how the new starter is performing and behaving against expected and/or required standards; highlight where the new starter is doing well, establish if any support and development is necessary e.g. training, reasonable adjustments, discuss any unsatisfactory standards and expected improvements in performance; and document and record what has been discussed and agreed at the meetings. Input from the appropriate professional lead may be considered by the operational manager at these meetings if considered appropriate. Although the probation period is normally for 6 months, the appointment can be terminated at any time if: Following appropriate investigation, a new starter is found to have committed an act of misconduct/gross misconduct; or There is a serious performance/capability issue, for example, that could put at risk Trust property/resources/reputation, clients, service quality, other staff or the probationer. In such cases, the Line Manager should contact HR for advice. 5. Step One: Review Meeting (around three months following appointment) The Line Manager will invite a new starter to a review meeting to discuss the employee s progress. This will take place around 3 months after the employee commences employment. The meeting should allow the Line Manager and new starter to review the new starter s performance during their time in post to date. A balanced approach to feedback is encouraged, supporting new starters with both positive and constructive feedback. Time 3

4 should be taken to identify areas of improvement and support required. At this stage the Line Manager should make a decision whether they feel the new starter is performing to required and expected standards. At the meeting a two-way discussion will take place between the new starter and the Line Manager which will cover the following areas: Performance against the requirements of the role Conduct (including conduct with others, such as clients, team, manager, internal/external parties) Absence/attendance and time keeping The individual s understanding of the required standards Behaviour & performance against the Trust s values Additional learning and development opportunities/other support required Progress on the completion of local induction, statutory and mandatory training Any other issues that may affect the individual s employment After the meeting the Line Manager will complete the probation review report taking into account any comments made by the employee. The report should contain a summary of the individual s achievements and any areas that need to be focused on in particular or improved upon in the remainder of the probation period. The Line Manager should circle either Yes or No to indicate whether the employee has passed their probation period at this stage. If the new starter has not passed their first review meeting, an agreed action plan should be drawn up for the remainder of the probation period, with specific, measurable objectives for both the Line Manager (e.g. in relation to support and learning opportunities) and the new starter (e.g. in relation to attendance/targets/standards to achieve). Normally, if the employee has not passed the first review meeting, they will have the opportunity to demonstrate that they can meet the required standards with appropriate support during the remainder of their six month probation period. However, please see Section 4 for details of circumstances in which a probation period can be terminated early. A Performance Improvement Plan may also be used if specific actions are agreed as a result of a probation review meeting where the new starter has passed. The new starter is required to sign the report to confirm that they agree with the content and return a copy to their Line Manager. 6. Step Two: Final Review Meeting (around two weeks before the end of the probationary period) The meeting should follow the same format as the first review meeting. The new starter may be accompanied by an accredited Trade Union Representative or Trust employed work colleague. Where consideration is being given to termination of employment, the Line Manager may be supported at the final review by an HR Advisor. 4

5 Any objectives and action plans that were set at the first review meeting will be evaluated and discussed together with the overall performance of the new starter and completion of all statutory and mandatory training; and an assessment made as to whether the new starter has met the required standards. This meeting will have one of three outcomes: Outcome One Confirmation of employment The new starter should be told that they have now successfully completed their probationary period and be given a copy of the probation meeting report and the successful outcome letter. Outcome Two Extension of probationary period Extensions to the probationary period may be considered only in exceptional circumstances such as: Where a Line Manager has been unable to make a fair assessment of the new starter s performance e.g. due to a period of absence from work, or where for valid reasons the Line Manager has not been able to arrange probation review meetings. The new starter has demonstrated a degree of improvement in their performance which indicates that the required standards of performance could be achieved by an extension to the probationary period. Extension periods can be for a maximum of three months only. A letter plus the probation report and revised action plan should be sent to the new starter as soon as possible after the meeting informing the new starter that his/her probationary period will be extended. Advice should be sought from HR prior to making any decision to extend the probationary period. This is to ensure a consistent approach is taken across the Trust to managing extensions. Before the expiry of the extension period another final review meeting should be arranged. This should follow the process for the final review meeting and use the template Probation Review Report. Outcome Three Termination of employment If the new starter has performed/behaved unsatisfactorily since the first review meeting, taking into account any action plans and performance targets set after the first review meeting and at any one to ones, the decision to terminate the new starter s employment can be made. At the final review meeting, the Line Manager will ensure that the employee is given a full opportunity to put forward their reasons for not completing the agreed action plan. 5

6 If the decision is to dismiss the employee, they will be issued with notice in line with that stated in their Statement of Particulars. or pay in lieu of notice, except in cases of gross misconduct, when the employee may be summarily dismissed. A letter should be sent to the employee as soon as possible after the meeting confirming the outcome and setting out their right of appeal against the decision (see Section 7 below). 7. Appeal Process Employees who are dismissed under this procedure will have the right to appeal against the decision. The individual should set out in detail their grounds for appeal and submit this to the next level of management (as identified within the letter confirming termination of employment) within 10 working days of written confirmation of the decision. Failure to do so may mean that the appeal is not allowed to proceed. Upon receipt of the individual s grounds of appeal, an appeal meeting will be arranged with the individual, the Line Manager who made the decision to dismiss the individual, the individual at the next level of management and an HR representative. The individual may be accompanied by an accredited trade union representative or Trust employed workplace colleague. The procedure to be followed at an appeal meeting is as set out in the Trust s Disciplinary Policy. The outcome of the appeal meeting should be confirmed in writing to the employee within 5 working days of the meeting. 8. Interaction with other policies and SOPs For all new starters under the remit of the Probationary Period SOP, capability, attendance and misconduct will be dealt with under this SOP rather than the Trust s Disciplinary Policy, Performance Management Policy or Managing Attendance Policy. If an act of possible misconduct/gross misconduct occurs, the Line Manager will be able to consider a period of suspension, which will follow the requirements of the Disciplinary Policy. Such incidents should be appropriately investigated and HR advice should be sought. For new starters who meet the criteria of the Equality Act 2010, Line Managers will be required to ensure they act lawfully, including making reasonable adjustments to remove barriers to employment caused by a person s disability. HR advice should be sought. All other terms and conditions of employment, policies and procedures will be applicable to probationary staff, unless otherwise stated. 9. Process for monitoring compliance and effectiveness The SOP will be implemented through dissemination to managers within the Trust through Directorate DMT Reports. Line Managers will be responsible for communicating the SOP to their staff. This SOP will be reviewed every three years or before if there are legislation changes. The monitoring of this SOP includes an annual audit that comprises of the following table. Where non-compliance is identified an action plan will be drawn up and monitored at the Workforce 6

7 & Development Committee. Where remedial action can be taken immediately, the action must be recorded appropriately. Aspect of compliance or effectiveness being monitored The number of new starters who have their employment terminated as part of the Probationary Period Monitoring method Through ESR / Workforce Information Individual/ department responsible for the monitoring Workforce & Development Frequency of the monitoring activity Annual as part of the Workforce Assurance Report Group/ committee/ forum which will receive the findings / monitoring report Workforce & Development Committee Committee/ individual responsible for ensuring that the actions are completed Workforce & Development Committee 10. References This SOP should be read in conjunction with the following: Disciplinary Policy Living our Values (LoV) Framework Recruitment & Resourcing Policy PDC Policy & SOP 7