Managing probation: Notes of guidance
Managing probationary periods
In this guidance:
Introduction
If you have any queries or concerns about your probation period, please discuss with your Faculty or Service HR Advisor.
New appointments to the University of Exeter are subject to a probationary period of twelve months (except Lecturers (E&R), who are subject to the Professional Development Programme, and Professors, where no period of probation applies).
Staff employed for a fixed term of less than one year should be managed and reviewed in accordance with this guidance, since it is possible that their employment may be extended or they may be successful in applying for another position with the University.
Effective probation is important for both career development and as a means of assessing an individual’s competence to do the job to which they are appointed. The probationary period should be a positive two-way process designed to assist the new employee to integrate into their new role, with emphasis on support and development.
A well-managed period of probation should give the new employee the opportunity to develop, with relevant guidance, the necessary skills to carry out the job effectively and to develop their career. At the same time, it enables the University to assess the contribution of a new member of staff and to ensure that they fulfil the requirements of the position. It can therefore be seen both as a period of training for the individual, with consequential benefits to the Faculty/Service, and as a safeguard for the University.
The first stage in probation begins with induction, which should introduce the new employee to the University, and their Faculty/Service. It is also an opportunity to identify both the learning and development opportunities which are available to staff of the University and the mandatory training which they must complete.
Within three months of the employment commencing, the line manager should meet with the new employee to discuss their role (using the job description and, for academic roles, the appropriate role profile) and set appropriate targets, and to discuss their development needs, focusing on their abilities/strengths and what they think they can bring to the position, as well as any gaps in their competences and how these should be addressed. It may be helpful to use the documentation for the Performance and Development Review (PDR) to structure this discussion.
(The new employee should participate in the Performance and Development Review (PDR) process alongside their probationary reviews.)
First review
After approximately six months, the line manager should meet formally with the employee for a ‘first review’. The University’s HR system will email an automatic reminder to the nominated line manager in the Faculty/Service at approximately five months into the probationary period.
Any concerns the line manager has about the employee's performance and/or conduct, should be addressed as soon as possible following the guidance below.
The line manager should use the PD73 form as an aide memoir and record of the meeting since it is good practice to make a record of the review. Managers should then mark the probation as complete and upload the report directly into Trent - see our user guide for instructions.
Final review
In good time before the end of the period of probation, the line manager should meet formally with the employee for a final review. The University’s HR system will email automatic alerts to the nominated line manager in the Faculty/Service at approximately nine and eleven months into the probationary period.
Any concerns the line manager has about the employee’s performance and/or conduct, should be addressed as soon as possible following the guidance below.
The line manager should use the form PD74 as an aide memoir and record of the meeting. A copy of the PD74 form should be forwarded to humanresources@exeter.ac.uk. Managers should then mark the probation as complete and upload the report directly into Trent - see our Quick Reference Guide - Recording Completion of Probation for instructions.
This review is an opportunity to look back at the interim review and decide if the probation is going to be confirmed or the contract terminated. Line managers need to manage probation terminations carefully and seek advice from their HR Advisor. Employees have rights to claim unfair dismissal, breach of contract, and discrimination in an employment tribunal and so it is crucial that timescales are adhered to and notes of meetings are kept. If there are any concerns Human Resources will ask the Faculty/Service for copies of all records of probation reviews, PDRs etc and any other communications regarding the employee’s performance and/or conduct.
Unsatisfactory performance and/or conduct
If the line manager has any concerns about the employee’s performance and/or conduct and progress, they should seek advice from their HR Advisor at the earliest opportunity. If performance is not satisfactory, timely action should be taken: the line manager should not wait to the interim or final review to raise concerns with Human Resources.
Where performance is unsatisfactory, action along the following lines should be discussed with the HR Advisor. Action can be taken at any time during the probationary period (generally the earlier issues are addressed the better).
- The employee's attention should be drawn informally, by reasonably senior staff, to the areas in which their performance is deficient and advice should be given on how to improve including the period, where appropriate, within which this improvement has to be affected. A note should be made of the date and circumstances of any such informal talks and guidance, and it should be retained in the employee's personal file in Human Resources.
- It should be ensured that any appropriate training or instruction has been or will be given within the agreed timescale.
- It should be ensured that there is supervision by someone who is competent, experienced and supportive.
If the performance is still below the standards required after a reasonable interval, the following courses of action may be considered:
- extension of probation period;
- non-confirmation of appointment;
- transfer to a more suitable position.
The timing of any action should allow for the University to follow the appropriate procedure for non-confirmation and dismissal within the probationary period and give contractual notice (see the section on non-confirmation and dismissal below).
Extension of probation
Extension of probation should only be considered where there is a realistic probability of the employee meeting the required performance standards in the additional period. The length of the extension should be appropriate to the time required for the individual to develop and demonstrate the necessary skills to undertake the job effectively. The maximum period of extension is three months. (For the E&R job family, the maximum period of extension is 12 months).
The conditions of employment state that: Any proposal to extend a period of probation will be the subject of discussion with the member of staff. The discussion will include the reasons for the extension, the targets to be met and the time period. The member of staff will be informed of their right to be accompanied to any meetings. The details of the extension, reasons for extension and targets to be met and time period will be put in writing to the member of staff within 14 days of the decision to extend.
(Extension to the period of probation may also be appropriate where there has been a significant period of absence, for example due to sickness, maternity or other family-friendly leave, which has prevented the employee from demonstrating that they have satisfied the required standards for confirmation of appointment within the one year probationary period.)
Non-confirmation and dismissal
The procedures to be followed where the University is considering terminating the employment under the probationary procedure (Procedure for Non-Confirmation and Dismissal within the Probationary Period.) are set out below. The Faculty/Service should seek advice from Human Resources at an early stage on the procedure to be followed and which managers have delegated authority under the procedure.
Support staff Grades A-D
No later than one month before than the expiry of the period of probation, the appropriate manager in the Department will submit a written report to the Director of Human Resources*. The report should include a clear recommendation of confirmation or non-confirmation of appointment. Prior to submitting the report, the manager should offer to meet with the member of staff to discuss their performance and the manager’s recommendation. The member of staff will be allowed seven days to submit their written comments on the manager’s report before it is submitted to the Director of Human Resources*.
Where confirmation of appointment is recommended, the Director of Human Resources* will advise the member of staff in writing that their appointment is confirmed.
Where non-confirmation of appointment is recommended, the Director of Human Resources* will give notice to the member of staff that their employment is to be terminated (in accordance with the notice requirements during probation for staff in Grades A – D). This letter will also advise of the right of appeal and the procedure to be followed to make an appeal.
The member of staff may exercise their right of appeal by writing to the Director of Human Resources* within 7 days of the date of the notification. The appeal will be considered by a Director of Professional Services*, or a senior manager in another Department nominated by the Director of Human Resources*, who has not previously been involved in the decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting. The member of staff may be accompanied by a trade union representative or fellow worker. The Department and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The manager considering the appeal will hear evidence from the appropriate manager and may call other witnesses to attend. The manager considering the appeal may be advised by a representative from Human Resources. The decision of the manager will be final. The manager may confirm the appointment, in which case the employee will be re-instated, or uphold the decision that the appointment should not be confirmed, in which case the dismissal will stand.
The University reserves the right to invoke this procedure at any time during the period of probation where concerns about the member of staff’s performance, competence, attendance or conduct which may lead to a decision that the requirements for confirmation of appointment have not been met.
* or designate
Support staff Grades E and above
No later than one month before the expiry of the period of probation, the Director of Professional Service* will submit a written report to the Director of Human Resources*. At least one week prior to submitting the report, the Director of Professional Service* will send a copy to the member of staff. The member of staff will be allowed seven days to submit their written comments on the manager’s report to the Director of Human Resources*, via their Director of Professional Service*. The Director of Professional Service’s* report should include a clear recommendation of confirmation or non-confirmation of appointment.
Where confirmation of appointment is recommended, the Director of Human Resources* will advise the member of staff in writing.
Where non-confirmation of appointment is recommended, the matter with be referred to a Director of Professional Service or a senior manager in another Department nominated by the Director of Human Resources* (who has had no previous involvement) for a decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting and warned that their on-going employment is at risk. The member of staff may be accompanied by a trade union representative or fellow worker. The Director of Professional Service* and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The Director of Professional Service or senior manager considering the matter (who may be advised by a representative of Human Resources) will hear evidence from the Director of Professional Service* and may call other witnesses to attend.
The Director of Professional Service or senior manager considering the matter may confirm the appointment or agree that the appointment should not be confirmed. In the latter instance, the Director of Human Resources* will write to the member of staff within 7 days of the meeting to advise that their employment is to be terminated (in accordance with the notice requirements during probation for staff in Grades E and above). This letter will also advise of the right of appeal and the procedure to be followed to make an appeal. The member of staff may exercise their right of appeal by writing to the Director of Human Resources* within 14 days of the date of the notification.
The appeal will be considered by a panel who have not previously been involved in the decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting. The member of staff may be accompanied by a trade union representative or fellow worker; the University’s case will be presented by the University’s representative (i.e. the Director of Professional Service or senior manager who took the decision that the appointment should not be confirmed). The University and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The appeal panel may be advised by a representative from Human Resources and the decision of the appeal panel will be final. The appeal panel may confirm the appointment, in which case the employee will be re-instated, or uphold the decision that the appointment should not be confirmed, in which case the dismissal will stand.
The University reserves the right to invoke this procedure at any time during the period of probation where concerns about the member of staff’s performance, competence, attendance or conduct which may lead to a decision that the requirements for confirmation of appointment have not been met.
* or designate
Research staff
Procedure for non-confirmation and dismissal within the probationary period
No later than one month before the expiry of the period of probation, the Faculty Deputy Pro-Vice-Chancellor will submit a written report to the Director of Human Resources*. At least one week prior to submitting the report, the Faculty Deputy Pro-Vice-Chancellor will send a copy to the member of staff. The member of staff will be allowed seven days to submit their written comments on the manager’s report to the Director of Human Resources*, via their Faculty Deputy Pro-Vice-Chancellor. The Faculty Deputy Pro-Vice-Chancellor’s report should include a clear recommendation of confirmation or non-confirmation of appointment.
Where confirmation of appointment is recommended, the Director of Human Resources* will advise the member of staff in writing.
Where non-confirmation of appointment is recommended, the matter with be referred to a Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor (who has had no previous involvement) for a decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting and warned that their on-going employment is at risk. The member of staff may be accompanied by a trade union representative or fellow worker. The Faculty Deputy Pro-Vice-Chancellor and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor considering the matter (who may be advised by a representative of Human Resources) will hear evidence from the Faculty Deputy Pro-Vice-Chancellor and may call other witnesses to attend.
The Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor considering the matter may confirm the appointment or agree that the appointment should not be confirmed. In the latter instance, the Director of Human Resources* will write to the member of staff within 7 days of the meeting to advise that their employment is to be terminated (in accordance with the notice requirements during probation). This letter will also advise of the right of appeal and the procedure to be followed to make an appeal. The member of staff may exercise their right of appeal by writing to the Director of Human Resources* within 14 days of the date of the notification.
The appeal will be considered by a panel who have not previously been involved in the decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting. The member of staff may be accompanied by a trade union representative or fellow worker; the University’s case will be presented by the University’s representative (i.e. the Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor who took the decision that the appointment should not be confirmed). The University and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The appeal panel may be advised by a representative from Human Resources and the decision of the appeal panel will be final. The appeal panel may confirm the appointment, in which case the employee will be re-instated, or uphold the decision that the appointment should not be confirmed, in which case the dismissal will stand.
The University reserves the right to invoke this procedure at any time during the period of probation where concerns about the member of staff’s performance, competence, attendance or conduct which may lead to a decision that the requirements for confirmation of appointment have not been met.
* or designate
Procedure for non-confirmation and dismissal within the probationary period
No later than one month before the expiry of the period of probation, the Faculty Deputy Pro-Vice-Chancellor will submit a written report to the Director of Human Resources*. At least one week prior to submitting the report, the Faculty Deputy Pro-Vice-Chancellor will send a copy to the member of staff. The member of staff will be allowed seven days to submit their written comments on the manager’s report to the Director of Human Resources*, via their Faculty Deputy Pro-Vice-Chancellor. The Faculty Deputy Pro-Vice-Chancellor’s report should include a clear recommendation of confirmation or non-confirmation of appointment.
Where confirmation of appointment is recommended, the Director of Human Resources* will advise the member of staff in writing.
Where non-confirmation of appointment is recommended, the matter with be referred to a Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor (who has had no previous involvement) for a decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting and warned that their on-going employment is at risk. The member of staff may be accompanied by a trade union representative or fellow worker. The Faculty Deputy Pro-Vice-Chancellor and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor considering the matter (who may be advised by a representative of Human Resources) will hear evidence from the Faculty Deputy Pro-Vice-Chancellor and may call other witnesses to attend.
The Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor considering the matter may confirm the appointment or agree that the appointment should not be confirmed. In the latter instance, the Director of Human Resources* will write to the member of staff within 7 days of the meeting to advise their employment is to be terminated (in accordance with the notice requirements during probation). This letter will also advise of the right of appeal and the procedure to be followed to make an appeal. The member of staff may exercise their right of appeal by writing to the Director of Human Resources* within 14 days of the date of the notification.
The appeal will be considered by a panel who have not previously been involved in the decision. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting. The member of staff may be accompanied by a trade union representative or fellow worker; the University’s case will be presented by the University’s representative (i.e. the Deputy Pro-Vice-Chancellor or Deputy Vice Chancellor who took the decision that the appointment should not be confirmed). The University and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The appeal panel may be advised by a representative from Human Resources and the decision of the appeal panel will be final. The appeal panel may confirm the appointment, in which case the employee will be re-instated, or uphold the decision that the appointment should not be confirmed, in which case the dismissal will stand.
The University reserves the right to invoke this procedure at any time during the period of probation where concerns about the member of staff’s performance, competence, attendance or conduct which may lead to a decision that the requirements for confirmation of appointment have not been met.
* or designate
Procedure for non-confirmation and dismissal within the probationary period
Lecturers:
Senior Lecturers and Associate Professors:
No later than the expiry of the period of probation, the Faculty Deputy Pro-Vice-Chancellor will submit a written report to the appropriate Deputy Vice Chancellor. At least one week prior to submitting the report to the Deputy Vice Chancellor, the Faculty Deputy Pro-Vice-Chancellor will send a copy to the member of staff. The member of staff may submit their own written comments to the Deputy Vice Chancellor, via their Faculty Deputy Pro-Vice-Chancellor.
Upon receipt of the written submissions, the Deputy Vice Chancellor may confirm the appointment and the Director of HR Services will confirm this in writing. The Deputy Vice Chancellor may also ask for further written evidence from the Faculty and/or member of staff prior to making a decision. Any further evidence requested and submitted will be copied to the Faculty Deputy Pro-Vice-Chancellor and member of staff.
Alternatively, the Faculty Deputy Pro-Vice-Chancellor may refer the decision to a panel chaired by a Deputy Vice Chancellor; the other members of the panel will be drawn from current and former members of the Faculty Executive Board. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting and warned that their on-going employment is at risk. The member of staff may be accompanied by a trade union representative or fellow worker. The Faculty Deputy Pro-Vice-Chancellor and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The panel will hear evidence from the Faculty Deputy Pro-Vice-Chancellor and may call other witnesses to attend. The panel may be advised by an HR Partner.
The panel may confirm the appointment or agree that the appointment should not be confirmed. In the latter instance, the Director of Human Resources will write to the member of staff within 7 days of the meeting to advise of the decision and to give notice of dismissal. This letter will also advise of the right of appeal and the procedure to be followed to make an appeal. The member of staff may exercise their right of appeal by writing to the Director of Human Resources within 14 days of the date of the notification.
The appeal will be considered by a panel who have not previously been involved in the decision, comprising a Deputy Vice Chancellor, a member of the Senior Management Group and a member of Senate. The member of staff will be given a minimum of 14 days’ notification of the date of the meeting. The member of staff may be accompanied by a trade union representative or fellow worker; the University’s case will be presented by the University’s representative (i.e., the Deputy Vice Chancellor who took the decision that the appointment should not be confirmed). The University and the member of staff may submit further written evidence. All papers will be circulated at least 7 days prior to the date of the meeting. The appeal panel may be advised by an HR Partner and the decision of the appeal panel will be final. The appeal panel may confirm the appointment, in which case the employee will be re-instated, or uphold the decision that the appointment should not be confirmed, in which case the dismissal will stand.
The University reserves the right to invoke this procedure at any time during the period of probation where concerns about the member of staff’s performance, competence, attendance or conduct which may lead to a decision that the requirements for confirmation of appointment have not been met.
The Procedure for Non-Confirmation and Dismissal within the Probationary Period ensures that the University follows standards of good practice so that decisions are fair and evidence-based. An appointment should not be terminated under the probationary procedure without clear evidence of prior conversations/communication with the employee about their performance and/or conduct.
Notice periods
The conditions of employment provide for the following notice periods within the probationary period (other than in cases of summary dismissal):
Support staff in Grades A – D
- during the first month of the probationary period either party should give one week’s notice;
- during the next five months of the probationary period either party should give two weeks’ notice;
- thereafter either party should give one month’s notice.
Support staff in Grades E and above, staff in the Research Job Family and staff in the Education and Scholarship Job Family
- either party should give one month’s notice
Staff in the Education and Research Job Family
- either party should give three months’ notice.
Transfer to another position
Exceptionally, where the employee has demonstrated during their period of probation that they satisfy the performance standards for another position and such a position is vacant, it would be appropriate to discuss with the employee the option of transfer to this position. Where such a transfer is mutually agreeable, any unexpired period of the initial 12 month probation would continue to apply and, if appropriate, an extended period of probation, up to the maximum of three months (see the section on Extension of probation above) may be agreed.
Confirmation of appointment
Once the line manager of the Faculty/Service has confirmed that the probation has been passed, Human Resources will contact the employee in writing to confirm their appointment following satisfactory completion of the probationary period.
Faculties and Services are reminded of the guidance above that any concerns about the employee’s performance and/or conduct should be drawn to the attention of their HR Advisor at the earliest opportunity and in good time before the expiry of the period of probation.
Standards
Faculties and Services are reminded of the University’s standards on equality and diversity. All employment-related decisions should be made in accordance with the University’s policies on equality and diversity.
Faculties and Services are also reminded that records held by the Faculty/Service, as well as those held centrally in Human Resources, including emails, notes of meetings and memoranda/letters, will generally be open to the employee to access through data protection and Freedom of Information legislation.