Probation Scheme for Research Staff (Full and Part Time)

1. Introduction

1.1 The Institute is committed to providing all staff with appropriate guidance and support to fulfil their duties effectively and realise their potential. For these reasons research staff on fixed term contracts of six months or more will be offered the same support and access to staff development as staff on longer term and established contracts. A member of research staff who is initially employed for a period of less than six months, but is subsequently offered an extension of contract which meets the six month threshold, will also be considered under this scheme.

1.2 By completing a successful probationary period, a member of research staff will have a formal record of progress which will help to enhance her/his opportunities for career development.

1.3 The purpose of this scheme is to provide an integrated approach to career development at the Institute, linking probation to appraisal. On successful completion of her/his period of probation, an employee will be eligible to continue to discuss her/his professional and staff development needs under the Institute's Appraisal Scheme. An employee will therefore only be considered under one scheme at a time, that is, she/he will complete her/his probation, where relevant before commencing appraisal.

2. The Purpose of the Probation Scheme

2.1 The purpose of the Probation Scheme is to:

(a) support the employee in the development of her/his career in order to meet both the goals of the Institute and the individual;
(b) provide the Institute with an opportunity to assess the performance and future potential of the employee before deciding whether the appointment should be confirmed;
(c) provide the employee with regular feedback on her/his progress in the role; and
(d) help to identify the employee's staff development needs and provide appropriate development activities to assist the employee to achieve her/his full potential.

3. Criteria for Assessment

3.1 The Probation Committee will look for evidence which demonstrates that the employee has:

(a) satisfactorily contributed to the research work of her/his academic group;
(b) developed her/his skills as a researcher;
(c) satisfactorily undertaken any teaching allocated to her/him;
(d) satisfactorily undertaken administrative duties allocated to her/him; and
(e) demonstrated the potential to develop as a university scholar and to make an effective contribution to the development of her/his academic group.

4. Period of Probation

4.1 The probationary period for research staff shall be six months.

4.2 A decision as to whether an employee should serve a period of probation will be made by the selection committee at interview and recorded on the Decision Report Form by the Chair of the committee.

5. Preparation of Reports

Details of the role participants in the process are detailed in Appendix A.

5.1 Probation Reports

5.1.1 The Adviser is required to submit two probation reports:

(a) the first report should be prepared towards the end of the 3rd month of probation and will be submitted to the Head of School;
(b) the final report should be prepared towards the end of the 6th month of probation and will be submitted to the Probation Committee together with the first report.

5.1.2 If necessary further meetings may be convened and associated reports prepared at appropriate intervals.

5.2 The Contents of Reports

5.2.1 The nominated Adviser will be required to submit formal reports to the Head of School or the Probation Committee in accordance with paragraph 5.1.1 (a) and (b) above. The reports should contain sufficient information to allow the Head of School or Probation Committee to make a reasoned assessment of progress with regard to the following areas of the employee's work and staff development:

(a) research: this should cover

(i) the extent to which the employee's output (quality and quantity) is consistent with the group's target for the next RAE;
(ii) the employee's contribution to bids for obtaining research grants; and
(iii) the employee's skills and abilities as a researcher in relation to the job description for the post.

(b) teaching: where the employee has been allocated teaching as part of the role, this should cover:

(i) appropriateness of teaching methods used by and skill of the employee in teaching/tutorial/seminar/or workshop sessions;
(ii) the employee's contribution to course/curriculum development; and
(iii) the effectiveness of methods of assessment used by the employee.

(c) administration: this should cover:

(i) the employee's willingness and ability to contribute to the efficient administration of the work of the group and/or Institute; and
(ii) the employee's contribution to administration on formal group or Institute committees.

(d) development and support

(i) any staff and professional development activities undertaken by the employee since taking up appointment at the Institute; and
(ii) any areas identified for further development or support, providing clear recommendations for staff development activities to support the employee, (e.g. broadening experience, attending training courses etc.
.
(e) other matters

any other matters relevant to the employee's progress or performance in the role which may affect the outcome of the probation.

5.2.2 The report should be signed by the Adviser and the employee.

5.2.3 The employee will have the opportunity to comment on the report in writing if she/he wishes. These written comments should be attached to the report, they will then be submitted to the Head of School or the Probation Committee in accordance with paragraph 5.1.1 (a) and (b) above.

5.3 The Final Report

The final report will contain a clear recommendation, with supporting reasons either:

(a) to confirm that the employee has completed her/his probationary period satisfactorily; or
(b) to extend the period of probation for a further period of not more than six months; or
(c) to terminate the employee's contract of employment in accordance with the notice provisions contained in the employee's contract.

6. The Probation Committee

6.1 The Probation Committee will comprise the Dean of Research as Chair, one Head of School, as nominated by the meeting of Heads of School, and the Chair of the Meeting of Professors. The Committee will meet once a term. The Head of Personnel and Staff Development (or nominee) shall also be in attendance.

6.2 The Probation Committee will receive the probation reports on all relevant employees prepared by their Advisers. The final report,shall contain a clear recommendation, with supporting reasons, either:

(a) to confirm that the employee has completed her/his probationary period satisfactorily; or
(b) to extend the period of probation for a further period of not more than six months; or
(c) to terminate the employee's contract of employment in accordance with the notice provisions contained in the employee's contract.

6.3 Where the probationary period is extended, the reasons for the extension and the duration will be explained to the employee by the Adviser and will be confirmed in writing by the Chair of the Probation Committee. Appropriate support tailored to the particular circumstances will be provided. At the end of the period of extension a final report will be prepared as set out above. This final report will be submitted to the next appropriate meeting of the Probation Committee for a decision as to whether the appointment should be confirmed or not. A further extension of probation will not normally be an option.

6.4 The period of the extension will take into account the duration of the employee's contract. If the contract is due to terminate before the next scheduled meeting of the Probation Committee, then a special meeting may be convened at the discretion of the Dean of Research.

6.5 If progress is assessed to be deemed to be unsatisfactory in that the criteria for assessment set out in section 3 have not been met and either options 6.2 (b) or (c) above are recommended, then the employee will have the right to appeal against this decision.

7. Maternity Leave, Sickness and other Long Term Absence

The probationary period will be suspended during periods of maternity leave and long term ill health cases or other long term absence. Further advice may be obtained from Personnel.

8. The Outcome of Probation Committee Decisions

The Chair of the Probation Committee will write to employees to confirm the decisions of the Committee.

9. Appeals

9.1 An employee has a right to appeal against a decision to terminate her/his employment in accordance with the Institute's Statutes and Ordinances.

9.2 An employee has a right to appeal against a decision to extend her/his probationary period by writing to the Director within five working days of receiving the letter confirming the decision of the Probation Committee. An Appeals Panel comprising the Director and two other members of the professorial staff who have not previously been involved in the case shall be convened. The Head of Personnel and Staff Development (or nominee) shall also be in attendance. The employee shall submit the following documentation to the Appeals Panel:

(a) the probation report(s);
(b) the letter setting out the reasons for the extension; and
(c) the employee's written statement setting out the grounds on which the employee wishes to appeal.

9.3 The Director will write to the employee within three working days of the meeting of the Appeals Panel to confirm the panel's decision.

Approved by the Finance and General Purposes Committee on 30 October 2001.
(Modified in November 2001 in the light of the forthcoming revision of the academic structure of the Institute.)

Appendix A

The Role of Participants in the Process

The Role of the Head of School

The Head of School is required to:

(i) contribute to the induction of the employee by ensuring that she/he understands her/his role within the context of the work of the school and the Institute.

(ii) nominate an Adviser. Ideally, this should be done at the time of appointment, but the Adviser must be nominated by the time the new employee takes up appointment. The Adviser will normally be someone other than the Head of School.

(iii) ensure that a replacement Adviser is appointed if the nominated Adviser should leave the Institute or be absent for one term or more.

(iv) be responsible for the formal recommendation to the Probation Committee, following formal consultation with the Adviser. The Head of School retains the managerial responsibility, but will be guided by the Adviser on the progress made by the employee.

The Role of the Adviser

1. The Head of School will nominate an experienced member of the group to be the employee's designated Adviser for the period of her/his probation. The researcher shall have the right to request a change of Adviser. The Adviser shall normally be nominated at the time of the appointment.

2. The Adviser is required to:

(i) arrange an initial meeting with the employee to explain the probationary process to the new member of staff and ensure that the employee understands the criteria for successfully completing probation;
(ii) arrange two formal probation meetings with the employee (at the three and six month stages of the employee's probation) to discuss her/his progress in the role, focusing on her/his current job description, to provide constructive advice and guidance and identify development needs;
(iii) in consultation with the Head of School, ensure that the duties and the consequent workload allocated are appropriate;
(iv) provide advice on appropriate research techniques, guiding the probationer on the preparation of research proposals, grant/contract applications and publications;
(v) where relevant, monitor the employee's teaching load and observe at least one lecture/tutorial/workshop/seminar given by the employee; provide advice and guidance to the employee in these areas; and arrange for the employee to observe an experienced lecturer's classes if appropriate;
(vi) guide the probationer in the performance of her/his administrative duties;
(vii) advise the employee that the Staff Development Facilitator for Academic Staff arranges a variety of courses, workshops and seminars, details of which are contained in the Staff Development Portfolio which is given to every member of staff (details are also available from the Staff Development Facilitator and are posted on the Institute's Staff Development web pages);
(viii) ensure that the necessary reports are produced in accordance with the scheme. NB. A failure to supply a report in time will delay confirmation that the employee has successfully completed her/his probation and may also affect the employee's career progression.

3. The Institute will provide training for Advisers.

The Role of the Probationer

1. The Probationer is required to:

(i) ensure that she/he is familiar with the Probation Scheme;
(ii) ensure that she/he is fully aware of the criteria for successfully completing her/his probation (see section 3);
(iii) ensure that she/he complies with the requirements of the Probation Scheme.

The Role of the Deputy Head of Personnel

1. The Deputy Head of Personnel is required to:

(i) send a copy of the Probation Scheme to the employee with her/his contract of employment;
(ii) ensure that Advisers are nominated, ideally before the employee takes up appointment;
(iii) write to the Probationer and Adviser to confirm the appointment of the Adviser;
(iv) write to request probation reports;
(v) act as Secretary to the Probation Committee;
(vi) advise on the application of the Probation Scheme.

The Role of the Academic Staff Development Facilitator

1. The Academic Staff Development Facilitator is required to:

(i) provide advice and guidance to Heads of School, Advisers and Probationers about appropriate professional and staff development activities;
(ii) organise a wide range of courses designed to develop skills in research planning, preparing publications, applying for research grants, teaching, seminar and tutorial work and administrative skills.

14th September 2000