The Probation Procedure - guidance note

The purpose of the probation period is to give the School/College the opportunity to assess a new employee’s suitability as a potential permanent employee and to ensure that a postholder taking up a new appointment is, within a reasonable period of time, able to gain a full understanding of the requirements of the post and to achieve a satisfactory level of performance.

Recruitment and selection of employees can be a lengthy and costly (in both time and money) process. It is crucially important that the new starter is brought up to an acceptable standard as quickly and efficiently as possible but being mindful of individual pace and needs.

This procedure endeavours to achieve this and Headteachers/Principals and Governors are urged to recognise the long-term benefits that initial support and monitoring can provide.

It is important that all new starters are treated fairly and Headteachers/Principals/Line Managers must, in undertaking assessments, ensure that the School’s/College’s Equal Opportunities Policy is followed. If the Headteacher/Principal/

Line Manager requires further assistance with equality and diversity issues which may arise he/she should speak to his/her HR Officer.

This procedure conforms to the requirements of the Employment Act 2002 (Dispute Resolution) Regulations 2004. As non- confirmation in post following an unsatisfactory probation period is effectively a dismissal under the regulations, the procedure provides for the three steps i.e. reasons for dismissal set down in writing, a hearing and a right of appeal.

Internal Appointees

The procedure applies to all new entrants to the School/College, including those with previous continuous local government service.

Headteachers/Principals/Line Managers should use the structure of probation for all new internal appointees in order to assist them to reach the required standard in their new post within a specified timescale where the new job is substantially different from their previous one.

If at the end of six months, an internal appointee has failed to reach the required standard of performance/attendance/conduct, despite measures to improve this having been put in place, the Capability Procedure must be used.

 

All new entrants to the School/College must have completed a satisfactory probation period before they are confirmed in a permanent post, but the probation period can have been completed whilst the employee was on a temporary contract.

The Probation Procedure is overridden by the Disciplinary Procedure if a significant conduct issue arises which needs to be addressed formally. In this case, performance during the probation period will be looked at as part of these investigations.

Minor conduct issues, such as timekeeping and attendance, will continue to form part of the overall assessment for the Probation Review Meetings.

The Probation Record is a confidential document which should be kept in a secure place until the probation period is completed. The record should then be filed on the employee's personal file. The probationary employee should be provided with a copy of the record when it is completed. They should be encouraged to record their own comments and responses to the Headteacher/Principal/Line Manager’s comments in the appropriate place in the Probation Record.

At the end of the probation period, this document should provide an agreed record of what has occurred from both parties which should prevent differences if the matter were to be referred to a Formal Probation Hearing. The probationary employee should be provided with a copy of the completed Probationary Record.

In most cases the Headteacher/Principal will monitor the Probation Period and undertake the steps outlined in the procedure

The assessment must be fair and accurate.

The Headteacher/Principal may delegate the responsibility to an appropriate member of their School/College Management Team.

Whilst early Probation Review Meetings should not require the probationer to be accompanied by a Trade Union representative or a work colleague, Headteachers/Principals/Line Managers should not refuse such a request.

If by the time of the final Probation Review Meeting at 5 months, the Line Manager proposes to seek a mutually agreed extension (see

page 13), the probationer should be encouraged to bring a representative or work colleague to this meeting. This is also the case if the Headteacher/Principal/Line Manager feels that the probationer should be referred to a Formal Probation Hearing because his/her performance/conduct/attendance is not up to the required standard and it is not felt that a mutually agreed extension would resolve matters.

An employee must be encouraged to seek representation or be supported by a work colleague if he/she indicates that they are considering resigning before a Formal Probation Hearing.

In the case of new entrants to the School/College appointed on permanent contracts, the procedure should be applied from day one.

Employees on temporary or fixed terms contracts for 6 months or longer should also start their probation period from day one.

Headteachers/Principals are strongly advised to start the probation period for temporary employees on contracts up to 6 months or casual employees if there is any likelihood that the contract will last for longer than one month or that the individual may obtain another casual or temporary post with the School/College.

It is in both the interests of the School/College and the individual that this happens. If the temporary contract comes to an end, the employee is in a better position to apply for another post within the School/College if he/she has already completed a successful probation period. It also prevents individuals who may be less than satisfactory moving from one casual or temporary contract to another and achieving 12 months service with us without having undergone a probation period.

The Headteacher/Principal/Line Manager is responsible for ensuring that an induction programme is devised for each new starter. A copy of the Probation Procedure must be given to the new starter on the first day of employment.

 

It is the responsibility of the Headteacher/Principal/Line Manager to set the standards expected of the postholder and to familiarise the new employee with the work area and requirements of the job.

 

The Headteacher/Principal/Line Manager should be clear and exact in outlining the standards necessary to undertake the post. He/she should first list the essential duties of the post in the Probation Record Book and then list any more minor additional duties. This will be established from scrutiny of the job description/person specification and knowledge of local conditions. Assistance should be sought from your School/College HR Officer if necessary.

 

By the end of the first week, a date and time should be set for the first Probation Review Meeting to take place one month after commencement. The Headteacher/Principal/Line Manager should ensure that the new employee understands that he/she will not be confirmed in post until he/she has completed a satisfactory six months probation period, and that a satisfactory standard must have been reached for all the essential duties of the post by the time of the third Probation Review Meeting which will take place at 5 months. Reassurance should be given that training and support will be in place to assist the employee to reach the required standards.

Appropriate health and safety training, and child protection and information must be given to the new employee during the induction period and risk assessments carried out where necessary.

If the new employee has a disability which comes within the terms of the Disability Discrimination reasonable adjustments will have been discussed when the job offer was made and need to be in place when employment starts. However, these need to be constantly reviewed and if necessary adjusted during the probation period

 

At the end of the probation period, the Probation Record should show an on-going record of progress and improvement supported by training where necessary. If it is considered that the employee should not be confirmed in post, the record should substantiate this. Equally, if the employee has achieved satisfactory progress throughout, then he/she must be confirmed in post.

This is to deal with extreme situations where it quickly becomes apparent that the probationary employee is unable to do the work for which he/she was recruited.

If it can be shown that the poor performance was due to the fact that the probationer had misled the recruitment panel regarding their qualifications, skills and/or experience on their application form or during selection, arrangements should be made to hold a formal Probation Hearing within one month of the date of appointment with a view to terminating the probationary employment immediately. The Section in these Guidance Notes relating to the Formal Probation Hearing should be followed in this case.

The word ‘misled’ has been used deliberately because ‘lying’ on an application form is a disciplinary matter and the employee would then have to be subject to the Disciplinary Procedure which is a longer and more complex process than convening a Formal Probation Hearing within one month.

 

In all other instances of poor performance, intensive training and support must be put in place immediately to assist the probationary employee to reach the required standard of performance within the 6-month probation period.

If the probationary employee has a disability which comes under the Disability Discrimination Act (DDA), reasonable adjustments should have been identified at the time of appointment and should already be in place. However, these should be reviewed throughout the probation period to ensure that they are adequate and that a lack of reasonable adjustments is not contributing to poor performance.

The Headteacher/Principal/Line Manager should ensure that the meeting is to take place in privacy and without interruptions, but endeavouring to keep the seating arrangements as informal as possible. It should not take place in an open plan office for instance.

Prior to the meeting, the Headteacher/Principal/Line Manager should have already listed the duties/requirements for the post under two headings referring to the job description and person specification, seeking guidance from the School/College HR Officer if necessary.

The ‘Essential Duties’ and ‘Additional Duties’ should be listed first and it should be made clear to the probationer that satisfactory progress in all these areas is required by the final Probation Review meeting at 5 months.

If satisfactory progress is not being noted, further training and support should be provided to bring the employee's performance up to the required standard.

 

Before the meeting takes place the Headteacher/Principal/Line Manager must allocate time to fairly consider the standards of performance/attendance/conduct reached by the probationer for each of the essential and additional duties listed to enable him/her to complete the Probation Record when he/she meets with the employee. He/she must be clear what it is that is being assessed and monitored.

 

The Headteacher/Principal/Line Manager will then take the employee through the record, identifying both strengths and weaknesses.

The probationer should be invited to add their own comments and observations in the Probation Record, and should be encouraged to identify any training needs he/she might have.

If the probationer has achieved satisfactory standards in all areas, this should be noted on the record and a date set for the second Probation Review Meeting, in two month's time. A copy of the record should be given to the probationer.

If weaknesses are identified, the Headteacher/Principal/Line Manager should ensure that a full discussion is encouraged to ascertain difficulties experienced; training needs and support required; health problems, etc.

 

The Headteacher/Principal/Line Manager should then devise an improvement plan which he/she should endeavour to agree with the probationer. Failure to gain agreement does not prevent certain action being taken (see Measures available to assist in improving performance below). At the conclusion of the meeting the Hedteacher/ Principal/Line Manager must:-

 

Re-affirm the standard required in areas of shortfall

(referring to job description and person specification if appropriate).

confirm the improvement plan to be introduced

give the employee a copy of the record containing the improvement plan

set a date for a Progress Review Meeting in 2-4 weeks time.

Ensure that any training or support identified is put in place quickly.

The Headteacher/Principal/Line Manager should consider the various options available to enable the probationer to achieve the standard required. It must be recognised that certain options can be either agreed or imposed and others may only be introduced following agreement.

 

The improvement plan may include additional training, supervision, provision of additional information, working alongside a colleague, assistance with time management/task allocation, counselling or other appropriate action.

 

Increased supervision and training should be introduced by agreement, if possible, but are still appropriate options for the Headteacher/

Principal/ Line Manager to introduce without agreement.

 

Referral to the welfare/counselling service can only be introduced with the probationer's agreement.

 

The Headteacher/Principal/Line Manager must take the probationer through each point and outline strengths and weaknesses, highlighting particularly areas where improvements or declines have been noted.

The probationer must again be given the opportunity to record his/her own comments and observations.

Before the second probationary meeting takes place the Headteacher/ Principal/Line Manager should consider the employee's standard of performance/attendance/conduct since the first meeting (or since the Progress Review Meeting if an improvement plan to improve performance was drawn up). In the light of these considerations the Headteacher/Principal/Line Manager must complete the appropriate sections of Report B at the meeting with the employee.

 

The Headteacher/Principal/Line Manager must take the probationer through each point and outline strengths and weaknesses, highlighting particularly areas where improvements or declines have been noted.

The probationer must again be given the opportunity to record his/her own comments and observations.

If the probationer continues If the probationer continues to achieve the standard required or, after following the improvement plan of Report A, has achieved the standard required, this should be noted on Report B and a date set for the final Probation Review Meeting, to be held after five months of employment.

If weaknesses are still identified, particularly with any of the essential duties' the Headteacher/Principal/Line Manager should discuss concerns with the probationer seeking the probationer's view and comments.

If by the time of the second Probation Review Meeting, there has not been sufficient time for the Line Manager to adequately assess the employee’s performance/attendance/conduct, the probation period may be extended by up to one month at this stage by mutual agreement. This situation might arise if the employee has been on extended sick leave where the absence is accepted as being exceptional. In other instances such as repeated short term absence, the fact that the employee does not achieve a satisfactory standard of attendance could be a reason in itself for him/her to fail the probation period.

The extension should be noted on the record.

 

The Headteacher/Principal/Line Manager should seek to identify areas of support for the probationer and re-examine training, task allocation, time management, etc. outlining in the Improvement Plan expectations of and assistance to be given to the probationer.

 

The Improvement Plan must be shared with and, if possible, agreed with the probationer. The Headteacher/Principal/Line Manager must then:-

 

re-affirm the standard(s) required.

confirm the Improvement Plan to be followed and provide the probationer with a copy of this.

set a date for a Probation Review Meeting to take place in 4 week's time

clearly explain to the probationer the need to demonstrate improvement towards meeting the standard(s) set in the probation record and of the consequences of not doing so (a formal hearing which could lead to termination of employment).

 

Where the probationer's performance/attendance/

conduct has been unsatisfactory from his/her date of commencement, even though review and progress meetings have taken place and improvement plans followed, the Headteacher/Principal/Line Manager should alert their School/College Personnel Officer regarding the likelihood of having to take this employee to a formal Probationary Hearing after the third Probation Review Meeting.

If the Headteacher/Principal/Line Manager is satisfied with the probationer's performance/attendance/conduct then the probation record should be completed and signed off.

The Headteacher/Principal/Line Manager should confirm that the probation period has been satisfactorily completed and that this will be confirmed in writing within two weeks of the end of the probation period.

This letter should enclose a copy of the completed Probationary Record for the employee to keep. The original Probation Record should be filed on the employee's personal file

.

If it is felt that the probationer has almost achieved the necessary standards and that these could be achieved with a little more training, support and assistance, the probation period can be extended by a further three months without referral to a formal Probation Hearing at this stage if both the Hedteacher/Principal/Line Manager and the probationer are in agreement that this is the best course of action.

It is advisable that the probationer should be accompanied by their trade union representative or work colleague when this option is being discussed so that the probationer does not feel pressurised into agreeing to this course of action.

During the period of the extension regular Progress Review Meetings will take place between the Headteacher/Principal/Line Manager and the probationer to ensure that the required standard is met by the end of the extension period.

It must be made clear to the probationer that he/she will be confirmed in post if everything is satisfactory at the end of this additional three month period, but otherwise a formal Probation Hearing will be arranged.

It should also be explained that in this case the panel would be unlikely to decide upon a further extension to the probation period, although it would still have the discretion to do this.

In some cases an employee may recognise that his/her performance is not satisfactory and wish to resign, or agree to be dismissed without a hearing, in order to avoid the trauma of a hearing.

An employee must not be put under any pressure to forego his/her right to a hearing and should be advised to consult his/her trade union representative (if appropriate) if he/she suggests foregoing this right.

Where management is completely satisfied that an employee has decided voluntarily to resign or be dismissed without a hearing it is acceptable not to hold a hearing. A decision not to hold a hearing must not be taken by a Line Manager without consulting his/her Headteacher/Principal.

 

If the probationer's performance/attendance/conduct is unsatisfactory in any of the essential areas and it is felt that a mutually agreed extension would not bring about the necessary improvements, the matter must be referred to a Formal Probation Hearing, unless the employee wishes to resign or be dismissed without a hearing (see previous page). The purpose of the Formal Probation Hearing is to enable a panel (not including the Headteacher/Principal/Line Manager as a decision maker, although he/she would normally act as Presenting Officer) to determine whether:-

 

· expectations of the Line Manager have been unreasonable and the level of performance/attendance/conduct is acceptable for the post; or

· an extension should be given (not exceeding three months) following which a Formal Probation Review Hearing will take place. This would normally include a new improvement plan being devised by the panel; or

· the probationary employment should be terminated.

The composition of the panel should be determined. Consideration should be given to the composition of the panel in terms of gender and/or ethnicity. The panel should be impartial and should not include anyone with in-depth, prior knowledge. The panel should comprise a minimum of 3 Governors.

The probationer must be given at least 10 days notice, in writing, of the hearing date (although at the probationer's/trade union's request this may be reduced).

The letter must outline the alleged unacceptable standards of performance/attendance/conduct and be supported by relevant documentary evidence (see Appendix A for suggested letter). The letter must be handed to the employee or sent recorded delivery if the employee is absent from work.

 

The documentary evidence may consist of:

examples of unacceptable work

a summary of output compared to overall output or

other employees' output for the same work

copies of complaints received, etc.

A copy of the Probation Record must be attached to the papers to enable the Panel to assess the extent of the support and training already given to the probationer.

Copies of all documentation sent to the employee must also be sent to the panel

The employee should be invited/made aware of his/her right to submit documentary evidence and to call witnesses, if appropriate. The employee must be advised of his/her right to representation by a Trade Union representative or work colleague

Ample time should be allowed for the hearing and possible interruptions (e.g. telephone) eliminated prior to the hearing commencing.

- The location of the hearing should be chosen to maintain confidentiality and recognise that the employee may prefer this to be away from his/her working base.

Care should be taken to ensure that the employee's normal domestic arrangements are not affected (e.g. collection of children from school).

If the hearing is not at the employee's normal workplace, transport should be offered, if necessary, to enable the employee to reach the venue.

If the employee, or his/her companion, does not attend the hearing for any reason, a further date will be set within the probation period and the employee advised that the hearing will take place on that date, with or without them being present (see Appendix B for suggested letter). Every effort should be made to agree a date with the employee and/or their representative but, if agreement cannot be reached, a date should be set giving 10 working days’ notice to the employee.

This is to determine all the facts and decide whether or not the employee's probation should be confirmed, extended or employment terminated.

 

In fulfilling this role the Panel may wish to consider the following suggestions:-

Obtain the facts by:

asking open questions, probing and clarifying.

hearing from the employee him/herself.

listening carefully to the answers.

not entering into arguments or making personal remarks.

b) Adjourn (if necessary to another date) if they need:

fuller facts.

time to consider complex issues.

to allow composure to be restored.

c) Judge the evidence; (evidence which can be directly

challenged should be given most weight).

The format to be followed at a Probationary Hearing is

outlined in Appendix E and a checklist is provided at Appendix F.

The employee will be advised at the conclusion of the Hearing of the decision reached

Notes of the Hearing should be made including the following information:

date and venue of hearing.

names of panel, presenting officer, employee, representative.

the evidence presented, questions asked.

panel's conclusion.

reasons for decision.

measures to be implemented (if appropriate).

right of appeal explained.

.

The outcome will then be confirmed in writing normally within 5 working days but certainly within no more than 10 working days. The letter should be hand delivered or sent by recorded delivery if the employee is not at work. The employee will be asked to sign and return one copy to acknowledge receipt. Standard letters are attached at Appendices C and D.

Where dismissal occurs the employee has a right of appeal to a Probation Appeal Panel. There is no right of appeal against a decision to extend the probation period. The decision of the Probation Appeal Panel is final and there is no further right of appeal

The right of appeal and time limits for appeal must be included in the letter issued to the employee (see Appendix C)

The Probation Appeal Panel will be made up of three senior officers (not involved with the original Probation Hearing).

The Probation Appeal Panel may confirm the decision made by the panel at the original Formal Probationary Hearing or decide upon an extension to the probationary period. If deciding that an extension is appropriate the Probation Appeal Panel will discuss their decision with the Headteacher/Principal to arrange implementation.

 

When a probationer's employment is not confirmed, before readvertising/filling the post the Headteacher/Principal/Line Manager should consider in conjunction with H R the problems experienced to assess whether there needs to be any adjustment to the recruitment, selection or induction processes.