Probation Policy. Number :

Transcription

1 Probation Policy Number : THCCGHR Version : 1 Executive Summary The overall purpose of the policy is to inform managers and new members of staff of the procedure to be followed in order to support the successful completion of the probationary period. The policy ensures 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. Managers and new members of staff must ensure they are familiar with this policy. Date of ratification 20 th August 2015 Document Author(s) CSU Human Resources Team Who has been consulted? NELCSU Human Resources, NHS Tower Hamlets CCG Employees, NHS THCCG Senior Management Team, Staff Side. Was an Equality Analysis required? See Appendix 3 With what standards does this document demonstrate compliance? Equality Act 2010 References and associated CCG documentation THCCGHR02 Absence Management Policy THCCGHR07 Disciplinary and Appeals Policy and Procedure List of approvals obtained Executive Committee 20 th August 2015

2 Recommended review period 2 years Key words contained in document Assessment, conduct, development, development opportunities, end-review, job description, midreview, monitor, objectives, probation, probationary period, probationary report, progress, regular meetings, satisfactory/unsatisfactory, support, training, two-way discussion Is this document fit for the public domain? Y / N Y If No, why? 2

3 1 Contents 1. Introduction 3 2. Best Practice Guidelines on the Implementation of the Policy 4 3. Best Practice Guidelines for Managers 5 4. Best Practice Guidelines for Employees 5 5. The Mid Probationary Review 5 6. Satisfactory Progress at the Mid-Review 6 7. Unsatisfactory Progress at the Mid-Review 6 8. End of Probationary Review 7 9. Satisfactory Progress at the End Review Unsatisfactory Progress at the End Review Appeal Extensions Interaction with other Policies and Procedures 8 APPENDICES Mid and End of Probationary Report 10 Extension Slip 12 Equality and Analysis Initial Assessment 13 3

4 1. INTRODUCTION 1.1 Employment at the Tower Hamlets Clinical Commissioning Group (CCG) is usually offered subject to the satisfactory completion of a probationary period. The length of this probationary period is six months, and this will only be varied in exceptional circumstances. This policy is designed to inform managers and new members of staff of the procedure to be followed in order to support the successful completion of the probationary period. 1.2 The purpose of the Probation scheme 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 Policy should encourage clarification of the duties and responsibilities of the job, and the standards required of new members of staff. The Scheme provides a support mechanism to staff that identifies their ongoing developmental needs and ensures that they receive appropriate assistance to help them become competent in their new roles. 1.3 Any problems or difficulties that arise during the first six months of employment should be discussed between the manager and the employee in an open and supportive manner so that these can be effectively overcome. The probationary period is a twoway process, which provides new employees with the opportunity to receive constructive feedback, allows them to identify any training and development needs through the use of the job description and person specification for their post, and encourages the proactive involvement of staff in the induction process. If problems are identified, employees should be given the opportunity to improve their performance/conduct and be provided with any additional support or training that can be identified to assist in this. 1.4 The Probation scheme supports the new member of staff by complementing and enhancing the induction process. New staff are defined as employees joining the Tower Hamlets CCG who: a) Have not previously completed a probationary period with Tower Hamlets CCG. AND b) Did not work for Tower Hamlets CCG prior to the introduction of the Probation Policy. Staff who leave the CCG for more than 12 months or come back to a different grade or speciality will also be subject to a new probation period, as will probationers who transfer posts within the CCG. 1.5 This policy does not cover staff on secondment, interim staff or those on fixed term contracts less than 12 months. Any performance issues arising with these employees will be dealt with under the capability policy principles as required or via a trial period. 2. BEST PRACTICE GUIDELINES ON THE IMPLEMENTATION OF THE POLICY 4

5 2.1 When a new member of staff is recruited they should receive a job description that states whether the post is subject to the Probation scheme. The scheme should also be discussed with potential candidates at the appointments process and induction. Successful candidates will be sent an offer letter that refers to the Probation Policy and it will also be made explicit in their contract of employment. 2.2 All new members of staff will report to Human Resources on their first day of employment to sign on to the payroll and the HR Administrator will ensure that employees receive a copy of their job description and the Probation Policy. 3. BEST PRACTICE GUIDELINES FOR MANAGERS: 3.1 All managers should endeavour to: (i) (ii) (iii) (iv) (v) (vi) Clearly explain the Probation Policy to new employees upon their commencement in post, clarifying how performance will be monitored and what their expectations of the employee are regarding their ability to carry out their duties and responsibilities, and conduct in general. Arrange regular meetings with new members of staff to facilitate two-way discussions regarding their performance, and provide the new employee with the appropriate support, advice and guidance. The line manager will encourage the employee to seek advice or help with problems. Assist the new employee in developing the necessary competences and behaviour required, and identifying any training or development opportunities that will assist them in carrying out their role. This should be done with reference to the job description and person specification for the employee s post. Provide feedback at the earliest opportunity if the line manager considers the employee s progress to be unsatisfactory and explain what the employee needs to do in order to remedy this. Take advice from the relevant HR Advisor if an employee is experiencing difficulties at the mid-review stage. Guidance will be available for managers on the implementation of the Probation Policy. 4. BEST PRACTICE GUIDELINES FOR EMPLOYEES: 4.1 All employees should endeavour to: (i) (ii) (iii) Bring any concerns to the attention of their manager at the earliest opportunity. Attend and actively participate in meetings with their manager regarding their progress, and in the identification of additional support or development opportunities that may benefit them, with reference to the job description and person specification for their post. Acknowledge issues of poor performance and endeavour to improve on the problem areas identified. 5. THE MID PROBATIONARY REVIEW 5

6 5.1 When a new member of staff has been employed by Tower Hamlets CCG for approximately two and a half months the line manager will invite them to a formal meeting to discuss their progress. The purpose of the review is to make a formative assessment of the work to date of the new staff member and to identify areas which are going well and any areas where more support is needed. The employee will be given five working days notice of the meeting and have the opportunity to be accompanied by a union representative or a work colleague not acting in a legal capacity if they wish. (It will not be possible for the meeting to be postponed to allow further time for representation.) 5.2 At the meeting a two-way discussion will take place between the employee and the line manager which will cover the following areas: job specification requirements ability to grasp the main elements of the job ability to establish and maintain professional relationships with colleagues/other people absence / attendance and time keeping. 5.3 The meeting will also provide a further opportunity for the identification of additional support or training that can be provided to allow any initial difficulties to be overcome, and to assist training and professional development with reference to the job description and person specification. 5.4 After the meeting the manager will complete the mid-review report (Appendix 1) taking into account any comments made by the employee. The report should encompass an assessment of the employee s performance and conduct, and should NOT be an account of the discussion. 6. SATISFACTORY PROGRESS AT THE MID-REVIEW 6.1 If the manager is satisfied with the progress of the employee at the mid-review they should highlight YES on the last page of the completed report (to indicate that the employee is meeting the required standards) and give a copy to the employee. The employee is required to sign the report to confirm that they have seen it and return a copy to their manager. If the employee wishes, they can submit written comments to be attached to the report. 6.2 During the next three months the employee will continue to meet with their manager to discuss their on- going developmental needs. These meetings should involve twoway discussions regarding the progress and performance of the employee. The performance and conduct of the employee will continue to be monitored throughout the probationary period. 6

7 7 UNSATISFACTORY PROGRESS AT THE MID-REVIEW 7.1 The manager may decide, after considering the employee s comments at the meeting that the employee is failing to meet the required standards in any of the areas set out in Section 5.2. Any difficulties should be thoroughly discussed, although the continuous assessment process will mean that none of the issues under discussion should come as a surprise to the employee. 7.2 In cases where the manager has concerns, they should identify these in the report and highlight NO on the final page (to indicate that the employee is not currently meeting the required standards). The employee is required to sign the report to confirm that they have seen it and return a copy to their manager. If the employee wishes, they can submit written comments to be attached to the report. The Director (or equivalent) should be sent a copy of the report. The line manager must take advice from the appropriate HR Advisor at this stage. 7.3 Measurable objectives will be agreed with the employee to cover the next three months, and monitored, with appropriate training and guidance identified and provided to support the necessary improvement in performance/conduct. The manager should document these and keep records of any monitoring. 8 END OF PROBATIONARY REVIEW 8.1 The end of probationary review meeting will then be arranged ideally no later than five and a half months after commencement in post. The employee will again be provided with five working days notice of the meeting and given the opportunity to be accompanied by a union representative or work colleague not acting in a legal capacity. 8.2 The areas set out in Section 5.2 of this document will again be assessed. Any objectives that were set at the mid-review meeting will be reviewed and discussed together with the employee s overall performance and conduct and an assessment made as to whether the employee has met the required standards in carrying out the duties and responsibilities of the job description. 9. SATISFACTORY PROGRESS AT THE END REVIEW 9.1 If the manager is satisfied with the employee s performance over the last three months positive feedback should be given - particularly where improvements have been made. The manager will complete the report (Appendix 1) once the discussion with the employee has taken place, and YES highlighted on the last page (to indicate that the employee has passed the probationary period). Again the employee will be required to sign the report, and a copy is to be given to the manager. If the employee wishes, they can submit written comments to be attached to the report. The employee should be congratulated on the successful completion of their probationary period. 10. UNSATISFACTORY PROGRESS AT THE END REVIEW 10.1 Where the employee s performance/conduct remains unsatisfactory and the issues of concern are such that they may result in the non-confirmation of employment the manager will discuss their concerns with the employee in detail at a meeting. Advice from the appropriate HR Advisor must be sought at this stage. If after considering the employee s comments and the manager feels that there is no reasonable 7

8 prospect of an improvement in the employee s performance / conduct, they will be invited to a Probation Review Hearing prior to a decision being made regarding the termination of their employment. It may be appropriate to place the employee on special paid leave, until a decision has been made regarding their employment The member of staff should be given in writing five working days notice of the Probation Review Hearing, and be provided with full details of the concerns that are being reviewed as good cause for the non-confirmation of employment. The opportunity of accompaniment by a trade union representative or work colleague, not acting in a legal capacity, must be offered to the member of staff. If the member of staff is unable to arrange accompaniment on the date proposed or fails to attend the meeting for reasons outside of their control then the formal hearing will be rearranged for a mutually suitable time, normally within one week of the original date The Probation Review Hearing should be chaired by the Director or equivalent, plus one other senior manager and the HR representative. The dismissing manager must be at least one grade higher than the employee being dismissed. The purpose of the Probation Review Hearing will be to enable the Panel to review the case for nonconfirmation of employment and to consider any views expressed by the member of staff before a decision is made Where there is a decision not to confirm the probation period, this will be communicated in writing. The letter will contain the reasons for the non-confirmation of the probation period, the date employment will end, and outline the member of staff s right to appeal. The appropriate notice period will be given and payment made for any outstanding annual leave entitlement Although the probationary period is set at six months the appointment can be terminated AT ANY TIME during this period if the employee s conduct/performance is sufficiently unsatisfactory. In such cases the line manager should consult the appropriate HR Advisor and establish the facts of the situation in line with the CCG procedures, before arranging a Probation Review Hearing. 11. APPEAL 11.1 An employee has a right to appeal against a decision made to terminate their employment during, or at the conclusion of, their probationary period. Where an employee wishes to appeal, they should write to the Head of HR Business Partnering within NEL CSU within 5 working days of the date of the letter communicating the decision to terminate employment to the employee. The appeal statement should include all the information that the employee would like considered as part of the appeal review The appeal panel will consist of a Director or their nominated representative who will be assisted by a HR representative. This will be a different panel to the original Probation Review panel. The decision of the panel Chair, which will be communicated to the employee in writing within 5 working days of the hearing, will be final and there is no access to any other CCG procedures The appeal process to be followed is laid down in the Disciplinary and Appeal Policy and Procedure (Appendix C). 8

9 12. EXTENSIONS 12.1 An extension to the probationary period should only be made in exceptional circumstances, for example, if a problem arises near the end of the six-month period. The extension should be for a specific period and linked with appropriate objectives and means of support. An extension to the probationary period will provide the employee with time to demonstrate that they are able to reach and maintain the required standards. During the extension the employee will be supported and encouraged to complete their objectives and achieve success. In such cases the line manager should consult the appropriate HR Advisor before finalising the decision The maximum period of extension should be three months Where an extension is granted the subsequent probation report should be signed by the employee. Care should be taken by the line manager to ensure that the employee fully understands the terms of the extension, and that appropriate support is identified. An extension slip should also be completed and signed by the employee to show that they understand the conditions of the extension (Appendix 2). 13. INTERACTION WITH OTHER POLICIES AND PROCEDURES 13.1 For all new staff under the remit of the Probation Policy, poor performance and misconduct will be dealt with under the Probation Policy rather than the CCG Disciplinary and Appeals Policy and Procedure. The aim of Probation Policy is to ensure new employees receive appropriate support and development opportunities to help them carry out their duties and responsibilities to the required standards. It is part of the role of managers to manage the work of their staff on a day-to-day basis and to draw employees attention to any shortcomings and give counsel or correction as appropriate. It is in everybody s interests to avoid the need to take formal action under the Probation Policy if improvements can be elicited through more informal management intervention. However, where there is no improvement in performance or conduct, or if the offence is more serious this may lead to the early review and termination of the probationary period, as set out in section 10.5 of the Probation Policy. The principles and requirements for managers investigating incidents of misconduct will be in accordance with the framework set out for the investigation process in the Disciplinary and Appeals Policy and Procedure The principles of the requirements of staff and managers remain as detailed in the Absence Management Policy. However, frequent short-term absence and long-term absence (as detailed under sections 11 and 12 of the Absence Management Policy) will be dealt with under the Probation Policy. Exceptionally, for staff that come under the scope of the Equality Act (2010), section 13 of the Absence Management Policy will be invoked and the CCG would positively endeavour to accommodate reasonable adjustments in accordance with the Equality Act All other terms and conditions of employment and policies and procedures will be applicable to probationary staff, unless otherwise stated. 9

10 APPENDIX 1 Tower Hamlets Clinical Commissioning Group Report on the Conduct, Work and General Efficiency of Staff during the Probationary Period Section 1 Name: Grade and Job Title: Location: Date employment commenced:.../.../... Section 2 ****************************************************** Please indicate how the member of staff has performed in each of the following areas: - 1. Job specification requirements. (Please consider against the job description and person specification and attach copy) 2 Ability to grasp main elements of the job. 3. Ability to establish and maintain professional relationships with colleagues/with other people 4. Absence/Attendance and time keeping 5. Any additional observations (Please include any comments on Training and Development needs with reference to the staff member s job description and person specification as appropriate). 10

11 Section 3 Mid Probationary Report Do you consider that this member of staff meets the required standard? YES/NO (Circle as appropriate) Signature by Manager:... Date:... Signed by Probationer as seen:... Date:... Section 4 End of Probationary Report Do you consider that this member of staff meets the required standard? YES/NO (Circle as appropriate) Signature by Manager:... Date:... Signed by Probationer as seen:... Date:... 11

12 APPENDIX Extension Confirmation Slip Extension of probationary period for (name) until (date). I understand that the period of extended probation recommended in this report will be served under the same terms and conditions as my original period of probation and that the CCG reserves the right to terminate my contract at any time during this period. Signed Dated Name (printed) Job Title 12

13 APPENDIX 3 - Equality Analysis Initial Assessment Title of the change proposal or policy: Probation Policy Brief description of the proposal: To ensure that the policy amends are fit for purpose, that the policy is legally compliant, complies with NHSLA standards and takes account of best practice. Name(s) and role(s) of staff completing this assessment: Kasia Parfieniuk HR Advisor, North and East London Commissioning Support Unit. Date of assessment: March 2015 Please answer the following questions in relation to the proposed change: Will it affect employees, customers, and/or the public? Please state which. Yes, it will affect all employees Is it a major change affecting how a service or policy is delivered or accessed? No Will it have an effect on how other organisations operate in terms of equality? No If you conclude that there will not be a detrimental impact on any equality group, caused by the proposed change, please state how you have reached that conclusion: Believe that the policy will have an effect on all staff including those with protected characteristics under the Equality Act. 13