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Probation procedure for non-academic staff

Birkbeck is committed to supporting and guiding new members of staff to develop the necessary skills, competencies and performance standards required to successfully fulfil the requirements of the job. The probation period will also allow the College to fulfil its obligations to the member of staff (herein referred to as the 'probationer') to provide appropriate and effective supervision and support during the probation period.

SCOPE

This probation procedure applies to all staff in the Professional and Support, Research-only and Teaching and Scholarship staff categories.

There is a separate probation procedure for academic staff.

INTRODUCTION

Probation is defined as 'the action or process of testing or putting to the proof'. For probationers, it provides an opportunity to demonstrate that they can fulfil the responsibilities of the role to which they have been appointed to a satisfactory standard.

Birkbeck recognises it has a responsibility to provide relevant induction, training and support to the probationer over the probation period to enable them to demonstrate satisfactorily the skills and competencies necessary for the role.

The probation period is a time of adjustment and learning. Employees who are new to an organisation need time to familiarise themselves with working practices, and possibly to adjust to new and more demanding work patterns. Probationers must be given clear instruction and guidance about the job at regular intervals and line managers must provide encouragement and ensure any immediate development needs are addressed.

LENGTH OF PROBATION PERIOD

The length of the probation period will be outlined in the individual's contract of employment.

The probation period for an individual within each staff group will be as follows:

  • Professional and Support - six months
  • Research-only - 12 months
  • Teaching and Scholarship - 18 months.

Where staff are appointed on a fixed-term contract of less than the normal probation periods stated above, then the full period of their appointment shall be probationary. The probation period is not reduced. If the fixed-term contract is subsequently extended or made permanent then the individual's probation period will continue in the new contract until the sum of both periods reaches the normal duration of the probation period, at which point the probation must be confirmed or not confirmed according to the terms of this procedure.

PROCEDURE

THE PROBATION PROCESS

During the probation period the notice period will be four weeks at any time, by either party.

At the time of appointment, the probationer will be directed to a copy of this procedure within their contract of employment.

INDUCTION

An online induction course and checklists are available for research and professional and support staff including induction support for managers. An induction checklist is available for teaching and scholarship staff. Both can be accessed via the ‘Welcome and induction’ page of the Birkbeck website.

During the probationer's initial induction period in the role, ideally within the first week of the employee starting, the line manager must meet with the probationer to set out the requirements of the role including expectations of performance standards and behaviours and initial objectives. This may include:

  • details on the quality standards required;
  • the skills that may need to be acquired;
  • mandatory training plus any other training, and how this can be accessed;
  • College protocols, policies and procedures, and where details on these can be accessed;
  • deadlines which need to be met;
  • working relationships which need to be developed;
  • reasonable adjustments, if required and;
  • other details relevant to the successful performance of the role.

The line manager must also make clear that these standards and objectives will be monitored throughout the probation period and the frequency by which they can be formally reviewed.

The probationer must be briefed on how their role operates in relation to their colleagues and within the context of the department's or unit's work and Birkbeck as a whole.

Where appropriate, the probationer may be given the option of being matched with a peer mentor on an informal basis (where possible, this will be an experienced member of staff familiar with their role) who they can look to for general support and encouragement throughout the probation period.

The College will fulfil its legal duties (under the Equality Act 2010), so that adjustments, where reasonably practicable, are made to ensure that individuals with a disability are not disadvantaged. Where reasonable adjustments have been identified as part of the induction process, the line manager must discuss the implementation of these with the probationer.

MONITORING PROGRESS

Line managers must make themselves available to probationers at mutually convenient times, via their usual means of communication, to discuss any points concerning the role which may need clarification. Line managers must schedule regular one-to-one meetings with their probationer to provide information, to support them in their new role, to set standards, to provide feedback on performance and progress, and to address any concerns raised by the employee. These meetings should be held as frequently as deemed necessary with a minimum of one every two weeks. Problems must not be left to a probationary review meeting but raised in a one-to-one meeting as they arise.

In addition to one-to-one meetings, the probationer must have at least two formal probation review meetings during their probation period, usually held at the mid-point and at one month before the end of the probationary period.

The following points can be used, where appropriate, to monitor the probationer's progress:

  • Work output – Check the probationer is making steady progress
  • Work quality and standard - Check the probationer is producing work which is relatively error-free, is performing at the level expected and there is evidence of their acquired learning
  • Attendance - Check the probationer's record for punctuality, attendance and sickness absence
  • Collect feedback to provide a wider assessment – Check that colleagues (and students where the role is student-facing) feel that a good working relationship has been established
  • Conduct – Check the probationer’s conduct has been satisfactory.

Line managers are advised to provide feedback and any actions (in writing), to the probationer. If there are aspects of performance identified as needing improvement these must be discussed with the probationer as soon as possible, rather than waiting until the formal probation meeting. Feedback must be clear, specific and constructive, with advice and assistance given as to how to rectify any issues. Line managers may liaise with the HR Business Partnering team, as appropriate.

The College reserves the right to terminate employment during the probation period at any time. If there are serious concerns that arise prior to the Mid-term Review or Final Review, line managers must contact their Director of Professional Services/Director of Operations/Principal Investigator (as appropriate to the staff group) and HR at the earliest opportunity so that appropriate support can be given.

MID-TERM REVIEW

At the mid-point of the probation period the line manager must meet with the probationer to complete and discuss a formal review of the probationer's progress using the Probation form (Word) (Birkbeck staff only). This review is mandatory. It is particularly important in cases where the line manager considers the probationer to be falling below the required standard of performance and needs additional support.

If the review indicates that progress has not been entirely satisfactory, the line manager must discuss with the probationer the aspects of performance and/or conduct which need improvement and seek to agree clear objectives and timescales within which they can be reviewed. The probationer will be asked if they consider that any further support and/or training is necessary to enable them to complete tasks to the standards expected of them and this will be discussed and arranged where appropriate.

If there are serious concerns about the probationer's performance and/or conduct, the line manager must make it clear to the probationer that failure to improve performance/conduct to the required standard may result in non-confirmation in post and the termination of their employment or a short extension of the probation period. The line manager must discuss timescales for improvement and the possibility of extending the probation period with the probationer and confirm these in writing.

The Mid-term Review is an opportunity to remind the probationer to complete the mandatory training, if they have not already done so.

Line managers must schedule follow up feedback within an appropriate timeframe. A brief written record must be kept of improvements made or of difficulties in achieving set goals. The probationer must be made aware that such a record is being kept.

FINAL REVIEW

Approximately one month before the end of the probation period the line manager must hold a Final Review meeting with the probationer. The probationer does not automatically pass probation at the end of the probation period. They may only pass probation once the Final Review meeting has taken place. After the meeting the line manager must submit the Final Review section of the Probation form (Word) (Birkbeck staff only) to the HR Business Partnering team. This report will include written notification to HR that:

  • the probationer must be confirmed in post; or
  • the line manager will be extending the probation period; or
  • the line manager will be recommending termination of the probationer's contract.

CONFIRMATION OF APPOINTMENT

Where a probationer is judged to have successfully completed the probation period, the line manager will complete the Final Review Form during the Final Review meeting. The line manager will then provide the probationer with a copy of their Final Review Form and also email a copy to Human Resources. HR will then send a confirmation letter to the probationer. The line manager will proceed to setting and agreeing objectives with the member of staff for the year ahead.

EXTENSION OF PROBATION PERIOD

It may be appropriate to extend the period of probation if, due to particular absence periods e.g. maternity, paternity, long term sickness, it has not been possible to fairly assess performance, or training to support the individual has not been available.

If the probationer's performance has not met the required standard but the line manager has evidence to suggest that performance is likely to improve with a further period of probation, a probation period will normally only be extended once, up to a maximum period of one month.

In all cases where probation is extended, the following areas must be discussed between the line manager and the probationer and relevant information confirmed in writing:

  • the reasons for the extension
  • the period of the extension, the performance standards expected and the way in which performance will be monitored
  • any support/training that will be given in the extension period
  • that in the case where there is no sustained improvement in performance and/or conduct to the standard required, the probationer's employment may be terminated.

NON-CONFIRMATION OF APPOINTMENT: TERMINATION OF CONTRACT

Where the line manager determines that an extension and/or continuation of the probation period is deemed unlikely to result in a sufficient improvement in performance and/or conduct and it is likely therefore that the appointment will be terminated at this juncture, they must discuss with the probationer at the Mid-term Review and/or Final Review meeting. If they remain of the view that the contract should be terminated, they must discuss with their HR Business Partnering team and the Director of Professional Services /Director of Operations/Principal Investigator (as appropriate to the staff group). The relevant senior manager will then convene and chair a formal meeting with the probationer, the line manager and an HR representative. A person designated as minute taker will also be present.

The probationer will be given at least five days' notice of the meeting and will be provided with a copy of the relevant documentation in advance. They will be notified that they have the right to be accompanied at the meeting by a companion, who can be a trade union representative or a Birkbeck work colleague. Companions may assist in stating the probationer's case but may not answer instead of the probationer.

Any decision arising from the meeting will be confirmed in writing to the individual (in consultation with HR).

Probationers who do not meet the required standard during the probation period will be given four weeks' notice of the termination of contract by the Director of Professional Services department/Director of Operations/Principal Investigator (as appropriate to the staff group). The notice period will always be paid in lieu.

APPEALS

Probationers will have the right to appeal against a decision to terminate their employment in accordance with this procedure.

Any appeal must clearly set out the grounds on which the probationer is appealing and must be lodged in writing with the Deputy Director of HR within five working days of receipt of written confirmation of termination. Appeals will be heard without unreasonable delay.

The Chair of the appeal meeting will be accompanied by another senior manager. A representative from the HR department will be present in an advisory capacity. A person designated as minute taker will also be present.

Where possible the appeal will be chaired by a member of the College who is senior to the Director of Professional Services department/Director of Operations/Principal Investigator/ (as appropriate to the staff group), or their nominee, and in all cases will be an impartial individual who has not previously been involved in the case. The HR representative will also be a different person from the person who participated in the previous meeting.

The appeal panel can uphold or reject the appeal. Probationers have a right to be accompanied at the appeal meeting by a companion, who can be a Birkbeck work colleague or trade union representative. Companions may assist in stating the probationer’s case but may not answer instead of the probationer.

Probationers will normally be informed in writing of the outcome of the appeal meeting within five working days of the meeting.

The decision of the Chair of the appeal meeting is final.

RESPONSIBILITIES

Any queries on the application or interpretation of this procedure must be discussed with the HR team prior to any action being taken.

The following have direct responsibilities under this procedure:

PROBATIONER

  • Ensure they understand the role, responsibilities, objectives, expected standards and procedures governing the role and what is expected of them.
  • Ask questions if they are unsure about anything during their probation.
  • Attend progress review meetings and communicate/take on board areas for improvement, where appropriate.
  • Raise any issues/concerns which may affect their work and performance with their line manager.
  • Complete mandatory training that is required during the probationary period.
  • Contact their peer mentor as necessary.

DIRECTOR OF PROFESSIONAL SERVICES DEPARTMENT/DIRECTOR OF OPERATIONS/PRINCIPAL INVESTIGATOR/ (AS APPROPRIATE TO THE STAFF GROUP)

  • Ensure a named person is identified to the probationer as the member of staff who will oversee their probation. Normally this will be their line manager.
  • Where the line manager recommends that the probationer will have their contract terminated, discuss the reasons with the manager, and attend a meeting with the probationer, the manager and HR.

LINE MANAGER

  • Ensure the probationer is properly informed at the start of their employment about what is expected of them during probation (e.g. the required job outputs and objectives, standards of conduct, behaviour and performance).
  • Follow the probation procedure and ensure one to ones and formal reviews happen in a timely way.
  • Liaise with HR on the reasonableness and practicalities of implementation of reasonable adjustments, where appropriate, and any related training and development needs.
  • Determine whether a peer mentor is required and appoint one, where appropriate.
  • Monitor probationer's progress during probation period, providing regular and constructive feedback and addressing any performance and conduct issues promptly so that the individual has an opportunity to take action.
  • Ensure the probationer completes mandatory/essential training.
  • Consult with HR at an early stage where there are concerns, or where there is a need to issue an extension of the probation period.

PEER MENTOR

  • Introduce themselves to the probationer and provide contact details.
  • Provide a listening ear, support, encouragement and advice to the probationer when requested (anything over a notional maximum of six hours over the probation period should be referred to the line manager before it is undertaken).

HUMAN RESOURCES

  • Provide professional advice and guidance at all stages of the probation process.
  • Send out confirmation letters.
  • Attend any meetings, as necessary, in an advisory capacity.
  • Where termination of appointment is necessary, provide written confirmation to the probationer.

DEPUTY DIRECTOR OF HR

  • Consider appeal request.
  • Appoint appeal panel if required.

CHAIR OF APPEAL PANEL

  • Hear appeal requests in an appeal panel meeting.
  • Ensure probationer has been informed of their right to be accompanied at the meeting.
  • Seek to reach consensus within the panel but take responsibility for final decisions where appropriate.
  • Ensure probationer is informed, in writing, of the outcome of the appeal within five working days of the meeting.
  • Seek the advice of the HR Business Partnering team prior to the appeal panel meeting.