Induction and Probation Policy Purpose 1. This Policy is intended to provide: a structured induction to all new employees; to welcome them to UCL, provide initial training, explain required standards and set objectives for the probationary period a structured probationary period for all new employees to introduce them to the main duties and responsibilities of their post and to allow the opportunity for both the individual and the line manager to objectively assess whether or not the employee is suitable for the role in the case of staff undertaking teaching, supporting a structured training programme for the role within the probationary period a framework for addressing any concerns, offering support and training to address perceived unsatisfactory performance or conduct at an early stage a process to end employment fairly and consistently across all staffing groups during, or at the end of, the probationary period, at a point where it becomes clear that no further training or support would allow the employee to reach the required standards. Scope 2. This policy relates to all new employees of UCL, including those on part-time (fractional) and fixed-term contracts. 3. All new employees of UCL will undergo a probationary period as outlined in this policy. In some circumstances however, a reduced probationary period may be appropriate. Any amendments to probationary requirements, including a reduction of the probationary period, will be at the discretion of the Head of Department/Head of Division, following consultation with Human Resources Consultancy Services. 4. If an employee moves to a new role at UCL, after s/he has previously completed a probationary period, s/he will not have to complete another probationary period but should receive a thorough induction and be set objectives towards the standard appraisal, review and development scheme. 5. Following successful completion of a probationary period any concerns, unsatisfactory performance, misconduct or sickness or other absence will be dealt with under the relevant UCL policy, e.g. Grievance, Capability, Disciplinary or Managing Sickness Absence. Policy 6. UCL operates a fair and rigorous recruitment and selection process which aims to attract and employ the best. The aim of this Induction and Probation Policy is to ensure that from an individual’s first day with UCL, the necessary information and support is provided to enable successful and continuing employment. In order to do this it sets out obligations and milestones for both manager and employee. A flow chart of the Induction and Probation process is available at Appendix A. 7. It is the expectation of UCL that the majority of new starters will successfully complete their probationary period, however in the rare circumstances this is not possible, the processes to be followed are also outlined in this policy. Probationary periods 8. The length of an employee’s probationary period is defined by their job role/grade as follows: Job Role/Grade Professional Services Staff, Grades 1-6 Probationary Period (months) 6 Marie Curie Trainee 6 Professional Services Staff, Grades 7-10 9 Research Staff 9 Academic and Teaching Fellow Staff with substantial teaching experience (including Clinical); Proleptic Fellows, Lecturer, Senior Lecturer, Reader, Professor i Teaching Fellows without substantial experience Proleptic Fellows and Lecturers without substantial experience 12 24 36 9. For employees with a fixed term contract or funding end date shorter than the length of the relevant probationary period, the normal probation process will be followed for the duration of employment. If employment is subsequently extended, the probation period will be extended up to the standard period. 10. Proleptic Fellows are treated the same as academic staff for probation purposes, as they will become lecturers at the end of the Fellowship. Induction 11. It is a requirement that all new employees commence their employment at UCL with a structured induction. Detailed information can be found on the Staff induction webpages. As a minimum this will include: An introduction to the line manager, team, wider department An introduction to UCL-wide and local policies and procedures Access to buildings, equipment and systems as appropriate Mandatory training requirements and information on how to find and book additional courses Health and safety information Information security and computing regulations, including data protection and freedom of information Where to find other kinds of support 12. All new employees are also encouraged to attend the ‘Provost’s Welcome to new staff’ event, which is usually run once per term. 13. A checklist is available at Appendix B to assist managers with the induction planning process and it is also a useful tool for reference during the formal probationary meetings. 14. Research Fellows and Lecturers new to teaching will be assigned a Mentor by their Head of Department and introductions should be arranged as part of the induction process. 15. As part of the induction for any academic member of staff, the individual should be briefed on UCL’s academic mission by reading the UCL paper ‘Excellence and the UCL community: a shared endeavour’ and also UCL’s Academic Manual. Mandatory Training 16. As a requirement for successful completion of their probationary period, all new employees of UCL are required to complete a number of mandatory training programmes as detailed below. The probationer will need to print the screen at the end of the assessments that confirms they have completed the training. As part of UCL’s commitment to the principles of Equality and Diversity all new employees must complete the mandatory UCL e-learning module ‘Diversity in the workplace’ within six weeks of their start date. All new employees are also required to complete the online modules of the UCL Safety Induction course within three months of starting at UCL. As a prerequisite, attendees must first have completed their department’s local safety induction. All new employees are required to complete mandatory training on Information Security, including data protection and freedom of information. As part of UCL’s commitment to environmental sustainability and carbon reduction, all new employees must also complete the mandatory UCL e-learning module ‘Green Awareness UCL’, before the end of their probationary period. Any new employee who falls within the UCL Staff Categories eligible to undertake supervision of research students, and who wishes to be appointed as a Supervisor at UCL, must attend the mandatory briefing session ‘An Introduction to Research Student Supervision’, run by the UCL Graduate School. It is strongly recommended that all PhD Supervisors also attend the one-day workshop ‘Effective Research Student Supervision at UCL’. Any new employee who will be involved in the recruitment and selection of staff at UCL, including participation on interview panels, must first attend the Recruitment and Selection HR Policy Briefing. Professional Teaching Qualifications 17. Teaching is recognised as an essential function at UCL and it is expected that all academic staff will undertake appropriate professional development and training in teaching methodology and practice. 18. Probationary Lecturers and Research Fellows who have little or no experience of teaching in higher education prior to joining UCL but who teach as part of their role, are expected to participate in UCL Arena Two or complete the 60-credit Professional Certificate in Teaching and Learning in Higher and Professional Education (PCTLHPE) taught by the Institute of Education. Further information is contained at Appendix C. Professional development opportunities 19. In addition to the mandatory training requirements detailed above, UCL’s Professional Development Programme provides other training and development opportunities that may be relevant, dependant on the role. The UCL Centre for the Advancement of Learning and Teaching offers, through the UCL Arena Scheme, a full academic development programme to all UCL staff who teach. Management responsibilities 20. The responsibility for monitoring and managing probationary periods lies with the Head of Department/Division and with those to whom the day-to-day supervision of employees is delegated. 21. The line manager will be responsible for explaining the performance standards required of the new employee and service standards relating to their area of work. This includes but is not limited to: expectations of academic, research, teaching and/or professional excellence and behavioural standards as appropriate; quality and quantity of output; skills that must be acquired or developed; protocols that must be learnt; deadlines which must be met and how any changes to deadlines will be communicated; and, working relationships/networks to be developed with other staff, students, external contacts, etc. 22. The line manager must make clear how these standards will be monitored throughout the probationary period and set appropriate objectives. Guidance on setting objectives can be found at Appendix D. 23. For all new Research Fellows and Lecturers new to teaching, the Head of Department is responsible for appointing a mentor. Full details are available at Appendix E. For other staff, UCL offers the opportunity to find a mentor through UMentor. There are also some places available each year for B-MEntor, the mentoring scheme for Black and Minority Ethnic academics and researchers. 24. To support the development of new Teaching Fellows, Research Fellows and Lecturers, the manager will arrange observation sessions of their teaching. Observation should cover a variety of student learning situations and sufficient time should be allowed soon afterwards to give constructive and confidential feedback. In some circumstances it may be appropriate for the mentor to undertake this task. 25. If an employee moves to a different role at UCL during their probationary period, the manager may need to set new objectives that reflect the change in role. If the new role is very different, or in a different department, the decision may be taken to extend the probationary period to allow sufficient time for both parties to objectively assess the employee’s suitability. Meetings 26. It is expected that line managers will hold regular one-to-one meetings with all new employees, to provide information, support them in their new role, set standards, provide feedback on performance and progress and to address any concerns from the employee. These meetings should be held as frequently as deemed necessary but no less than once a month. See Guidance on Conducting one to one meetings. 27. In addition to one-to-one meetings, 3 formal probationary meetings are to be held at the following intervals: First meeting: At the end of the first month of employment. Second meeting: At the mid-point of the probationary period (month 3, 4, 6, 12). Third Meeting (Inexperienced Lecturers only): End of second year Final meeting: At least 4 weeks before the date on which the probationary period ends 28. Please see Appendix F for details of what should be covered in each of these meetings. 29. Heads of Department/Division and Departmental Administrators are responsible for ensuring these meetings are held in a timely manner and will be reminded of the requirement to complete these formal meetings through the Probation Monitoring System. It is wise for the employee and manager to agree the date for the next meeting at the same time as agreeing objectives to be met by that date. 30. A formal probationary meeting may be held sooner if there is clear evidence that the employee’s performance or conduct is not meeting the required standards, and that more time will not address this failing. This evidence would need to demonstrate that appropriate support had been put in place, and the employee was given sufficient opportunity to improve. If a manager wishes to bring forward a meeting in this way, they should first consult with Human Resources Consultancy Services. 31. A clear record must be made of each formal meeting and kept by the department. In addition, a copy of the record from the final meeting must be sent to HR for the employee’s personal file, to confirm whether the probationary period was successfully completed, extended or failed. Template forms are included within the guidance on Formal Probationary Meetings. End of probationary period 32. At the end of the Final probationary meeting the employee will be notified that: a) they have successfully completed their probationary period; or, b) their probationary period is being extended; the reasons why, the length of the extension, any support/training to be provided and any improvements that are required; or, c) they have not satisfactorily completed their probationary period and their employment will be ended, following the required period of notice. Successful completion of probationary period 33. Once an employee has successfully completed their probationary period, Human Resources will send them a letter confirming this. 34. Following successful completion of the probationary period an employee will be managed through one-to-one meetings, will be set new or continuing objectives, and be annually appraised. 35. Once an employee has successfully completed their probationary period (or a minimum of nine months’ service for Academic or Teaching Fellow staff) they will receive any automatic pay increments to which they are entitled. Extension of probationary period 36. A probationary period may be extended in the following circumstances: There are concerns about an employee’s performance, behaviour or conduct, where it is believed these can be addressed during the extended period. The employee has not completed all mandatory training The employee has had a significant amount of time away from work (e.g. on maternity, adoption or shared parental leave or sickness absence) and has therefore been unable to demonstrate competence in certain areas. Further information about extending a probationary period can be found at Appendix G. Non-completion of probationary period - ending employment 37. If, during an employee’s probationary period, it is suspected that the employee provided inaccurate or misleading information during the recruitment process, this will be discussed with the individual and, if established, employment may be ended. 38. If, at any time during the probationary period, an employee’s performance or conduct is deemed to be unsatisfactory or they have not completed mandatory training or a required qualification, employment may be ended. This possibility is provided the individual has received sufficient support from their line manager, opportunity for improvement, and the correct procedures have been followed. Further information is available at Appendix H. 39. An employee whose employment ends due to non-completion of probationary period has the right of Appeal against this decision. The appeal process is contained within the guidance on Ending a Probationary Period (Appendix H). Notice periods during the probationary period 40. During the probationary period, the following notice periods will apply: Job Role/Grade Notice from employee to UCL 2 weeks Notice from UCL to employee 2 weeks Professional Services Staff, Grades 7-10 4 weeks 4 weeks All Research Staff (including Marie Curie Trainees) 4 weeks 4 weeks Teaching Fellows (including Clinical TFs) 4 weeks 4 weeks Academic Staff (including Clinical staff): Lecturer, Senior Lecturer, Reader, Professor 12 weeks 12 weeks Professional Services Staff, Grades 1-6 Monitoring and Review 41. The HR Policy and Planning Team will keep the operation of this policy under review. HR Policy & Planning May 2015 5. Appendices A) Flow Chart B) Induction Checklist C) Professional teaching qualifications D) Setting objectives E) Mentoring F) Formal probationary meetings & Forms G) Extending a probationary period H) Ending a probationary period & Appeals process i In exceptional circumstances and at the discretion of a Dean, Vice Provost or the Provost, the requirement to serve a probationary period may be waived for some senior appointments, where doing so is felt to be commensurate with the need to attract and retain staff. Appendix A: Flow Chart Timescales Induction & probationary period begins Probationary review meetings may be held at any time to discuss unsatisfactory performance or conduct. Following support and any training required, employment may be terminated at any time if necessary. Objectives set One-to-one meetings arranged First Probationary Review meeting Second Probationary Review meeting Appraisal cycle begins Probationary period extended if required During month 1 End of month 1 Half-way through Probationary period (Month 3/4/6/12/(24)) At least 4 weeks before the end of the probationary period Final Probationary Review meeting Employee confirmed in post Day 1 Employment ended End of probationary period Once employee is confirmed in post Appendix B – Induction Checklist BEFORE START Activity Timescale HR matters: Submit contract request on SiP As soon as possible As soon as possible As soon as possible As soon as possible As soon as possible Ensure references are requested Completed Comments (/X) Ensure any reasonable adjustments can be made for individual before their start date If required, make referral to UCL Occupational Health Service If required, send Certificate of Sponsorship (CoS) application form and supporting documents to HR ECA Team If required, ensure Disclosure and Barring As soon as Service (DBS) check form completed and sent to possible HR ECA Team for processing NB, an individual cannot start work with UCL until any necessary CoS or DBS check has been completed Equipment: Workspace/furniture Computer Identify a suitable workspace/desk/lab bench as Before start required Obtain any necessary personal equipment Before start Ensure access to stationary/shared equipment Before start Provide a PC/laptop as required Before start BEFORE START Activity Timescale Verify computer account and access with ISD Before start Ensure access to UCL/local systems as required Before start Telephone Provide a telephone/mobile phone as required Before start Communication: Confirm start date, hours and place of work As soon as possible Confirm where to attend on Day 1 and who to report to Ensure person has a copy of Job Description New starter Existing staff/team Inform team of new starter name, role and start date As soon as possible As soon as possible As soon as possible Induction: Create induction plan Before start Plan activities for person’s first week. Before start Appoint a mentor if required Before start Completed Comments (/X) AFTER START Activity Timescale HR matters: Confirm person has started by completing 'New Starter's Reminder System' on the HR website Ensure Individual has provided P45, or completed P46 Ensure signed contract has been returned Day 1 Request emergency contact details and ensure these have been completed on MyView Discuss any pre-arranged leave and show how to make requests through MyView Explain absence notification procedures/provide contact details Refer to the Staff Induction webpage http://www.ucl.ac.uk/hr/od/induction/index.php Refer to the HR policies and procedures pages for key policies Day 1 Ensure person obtains ID/Access card Day 1 Access & Security: Day 1 Day 1 Week 1 Week 1 Week 1 Week 1 Explain local access procedures/times of access Day 1 etc. Explain local emergency and evacuation Week 1 procedures Ensure individual is aware of UCL Information Week 1 Security Policy and supporting policies Equipment: Confirm person has equipment required and access to systems needed Day 1 Completed Comments (/X) AFTER START Activity Sources of support Provide information about the sources of support Week 1 available at UCL, including; Occupational Health, Employee Assistance Programme, Dignity at work Advisors, DEOLOs, Employee support networks/groups, Campus Trade Unions, Staff Disability Forum, [email protected],UCL Cultural Consultation Service, etc. Communication: Ensure individual added to appropriate mailing lists to receive emails, system notifications etc. Week 1 Probation: Explain the UCL Induction and Probation Policy Week 1 Explain expectations and set probationary objectives Discuss any areas for development and create personal development plan if necessary Set dates for one-to-ones and formal probation meetings at the required intervals First Formal Meeting Month 1 Second Formal Meeting Month 3/5/6/ 12/18 as appropriate 4 weeks before end Final Formal Meeting Timescale Month 1 Month 1 End of month 1 Completed Comments (/X) AFTER START Activity Timescale Induction: Local induction Discuss proposed induction plan and provide local induction pack if applicable Introductions to immediate team and other key colleagues Introduction to mentor if applicable Day 1 Discussion of team protocols (core hours, meetings schedule etc.) Ensure attendance at local Safety Induction UCL induction Mandatory Training Encourage person to complete online workstation self-assessment Requirement to complete UCL e-learning module 'Diversity in the workplace' Requirement to complete UCL Safety Induction Requirement to complete UCL Information Security training (including data protection and freedom of information) Requirement to complete UCL e-learning module ‘Green Awareness UCL.’ Provost's 'welcome to new staff' event Other Training Day 1/Week 1 As soon as possible Week 1 As soon as possible As soon as possible Within first 6 weeks Within first 3 weeks Within first 6 weeks Within first 5 months As soon as possible Discuss requirement to attend Intro to Research Week 1 Student Supervision if applicable Discuss requirement to undertake Arena Two (or Week 1 alternative course) if applicable Completed Comments (/X) AFTER START Activity Timescale Discuss requirement to attend Fair Recruitment Week 1 briefing if applicable Discuss access to Organisational Development’s Week 1 professional development online courses End of probation: Ensure all mandatory training has been completed Complete required probationary paperwork Notify HR of probation outcome; complete / extended / not complete. Ensure new objectives are set to commence UCL Appraisal cycle Final formal meeting Final formal meeting Final formal meeting Once confirmed in post Completed (/X) Comments Appendix C: Professional Teaching Qualifications 1. Teaching is a highly valued activity at UCL and probationary requirements are designed in part to ensure that teaching meets the UK Professional Standards Framework as defined by the Quality Assurance Agency (QAA) and Higher Education Academy (HEA). In addition, data about the qualifications held by academic staff are collected and submitted annually to the Higher Education Statistics Agency (HESA). It is thus expected that all academic staff will undertake appropriate professional development during their probationary period, with a view to gaining formal professional recognition in relation to teaching in Higher Education. 2. UCL requires all Lecturers to follow a programme which leads to recognition as a Fellow of the Higher Education Academy (FHEA). This professional recognition may be achieved through one of the following two routes: a. b. The UCL Arena Two Academic Practice programme, delivered by UCL’s Centre for the Advancement of Learning and Teaching (CALT) in partnership with academics from across UCL. This leads to the award of an HEA Fellowship. The Professional Certificate in Teaching and Learning in Higher and Professional Education (PCTLHPE), delivered by the Institute of Education (IoE), which carries academic credits in education and also leads to the award of an HEA Fellowship. These courses are offered free of charge to eligible UCL employees on the payroll. Those eligible do not include Visiting Lecturers, those in honorary posts and workers on ‘as and when’ contracts. 3. The UCL Arena Academic Practice Pathway is available for all probationary staff who teach and/or support students’ learning. UCL also fully funds a number of places each year on the IoE’s PCTLHPE programme, for staff who are willing and able to study for a full postgraduate certificate in higher and professional education. Staff who consider opting to follow the IoE programme should contact the Centre for the Advancement of Learning and Teaching (CALT) at [email protected] to ensure that places are available. CALT will support staff with their enrolment to either programme. 4. Full details of each of the two programmes will be sent to all relevant probationary staff on appointment or as soon as possible thereafter, so that an informed choice of routes can be made. Individually tailored advice can be requested at any time through contacting CALT at [email protected] . Both programmes have two start dates, one in October and one in January. 5. Staff on probation who already have substantial experience of teaching in higher education (a minimum of three years’ experience, full time equivalent) and who have already engaged in appropriate professional development activity to support that teaching, may be eligible to claim an HEA Fellowship directly through the UCL Arena Open continuing professional development (CPD) scheme. Personal advice will be provided: please contact [email protected] . 6. If appropriate and with the authorisation of their Head of Department, an alternative course in another HE institution may be undertaken. Eligible programmes will typically lead to a full postgraduate certificate qualification focusing on higher or professional education and/or be accredited by the HEA in line with Descriptor 2 of the UK Professional Standards Framework and so confer upon successful candidates a Fellowship of the Higher Education Academy. 7. Individuals will be paid by their department at their normal hourly rate of pay for the time required to attend the mandatory taught course sessions, outside their usual working hours. 8. Teaching Fellows, Research Fellows and Lecturers new to teaching with a load less than a half-course unit, or the postgraduate equivalent, will be required to successfully complete the first two sessions of the UCL Arena Two Academic Practice Pathway programme during their probationary period. However if the individual elects to complete the full Academic Practice Pathway to gain a Fellowship of the HEA via either route, she/he will be paid for the number of face-to-face sessions required to complete this award. 9. If a part-time Teaching Fellow, Research Fellow or Lecturer increases their teaching hours to assume full responsibility for a half-course unit or the postgraduate equivalent at any time during their probation, they will have to meet the requirements described in 2 above. In such circumstances the probation period may be extended to allow sufficient time for the requirements to be met. 10. For additional information, please contact the Centre for the Advancement of Learning and Teaching at [email protected] . Appendix D: Setting Objectives What is an objective? 1. The process of setting and agreeing objectives during the probationary period is important to ensure that expectations are clear, fair and consistent. The new employee should understand what is expected of them and the behaviours required, as well as how this will be measured. Managers should be aware of the employee’s personal circumstances and training needs, and consider these when setting achievable objectives. 2. It is necessary to differentiate between goals and objectives. Goals refer to aspirations, purpose and vision. They may be long-term and may involve others’ actions, which are outside the individual’s direct sphere of influence or control. Objectives are potential attainments of the individual that can be realistically achieved by them by following a certain number of steps. These should be SMART. 3. Objectives should focus on identifiable outcomes – what will achievement of the objective look like? They may relate to key performance indicators (KPIs) or Service Level Agreements (SLAs). Where should the objectives come from? 4. In probation, the principal objectives, including behavioural standards, will normally be based on the core duties of the Job Description used to define the post for appointment purposes. Additional objectives, based on changing needs or personal (e.g. research or developmental) objectives may be agreed with the employee. 5. UCLs’ core behaviours framework may also be referred to in supporting an individual’s personal and professional development. 6. Consideration of how equality and diversity matters can be promoted within the role should also be embedded within the objectives. SMART 7. Probationary objectives should be based on the SMART acronym: S M A R T Specific Measureable Achievable (and agreed) Relevant Time specific What exactly needs to be done, with, or for whom? Is it measurable and can the employee and manager measure it? Can it be achieved in the timeframe set, with the resources available? Will this objective lead to the end goal, i.e. confirmation of a good recruitment decision? When will this be accomplished /completed? Is there support (managerially/ politically) for it to be done? 8. There is no single correct way to write a SMART objective, but it is helpful to think through some of the following tips: Specific: Be concrete. Use ‘action’ verbs. Measureable: May be numeric or descriptive of quantity, quality or cost. How will you demonstrate that the objective has been met? Achievable: The objective should be appropriately limited in scope and within the employee's control and sphere of influence (it is better to split big objectives into sub-objectives for clarity, especially if there are different deadlines, targets or measures). Relevant: Measure outputs or results, not activities. Time specific: Identify target dates, including interim milestones and plans to monitor progress in line with the formal probationary meeting schedule. 9. The objectives should relate to the employee’s core duties, as the purpose of this exercise is to be confident that the employee is capable of doing the job they have been recruited to do. The SMART approach is a method for validating an objective – it is not an objective itself! 10. Examples of a SMART objective could include: To check and process purchase orders, supplier invoices, expenses and interdepartmental transfers (IDTs) using MyFinance on a weekly basis. Ensure accuracy of invoices against orders raised and chase queries in a timely manner to facilitate 30 day supplier payment deadlines. To design and deliver quarterly training courses on the European Computer Driving License (ECDL), commencing in 6 months’ time. The course should comprise of 7 modules and must be accredited and approved by the British Computer Society. To write and submit a proposal for a grant bid on X topic, aligned to the Faculty’s strategic plans for delivery against UCL’s Grand Challenge on Global Health by 30 September. 11. Objectives should be kept under review. Where circumstances change (e.g. revised departmental priorities) you should revisit the objective to see if it is still relevant and achievable within the timescales. If it is not, it should be updated, removed or replaced, as appropriate. Appendix E: Mentoring Appointing the Mentor 1. All new Research Fellows and Lecturers new to teaching will be given a mentor appointed by the Head of Department. Other staff may request a mentor through the U-Mentor and BMEntor schemes (see sections 21 and 22 below). The following Appendix primarily summarises the academic mentoring scheme. 2. Mentors need to be appointed before, or soon after the new employee starts, so that introductions can be made during the induction process and the mentor/mentee relationship can quickly become established. Who can be a Mentor? 3. The role of a mentor is that of confidant and critical friend, someone who can provide encouragement and assist in the development of the probationer’s professional expertise. The mentor should be someone from outside the individual’s immediate work team, with whom they can share dilemmas, concerns and issues. 4. A mentor/mentee partnership is more likely to be successful if the partners have similar academic values and research/teaching interests. For this reason it is usually helpful if Heads of Department consult both the individual and any prospective mentor before reaching a decision on any pairing. 5. Experience has shown that the key factor for successful mentoring is the commitment of the mentor to enhance the professional development of the Research Fellow/Lecturer. 6. Anyone can be a mentor if they: work at UCL; are willing to engage and fulfil the responsibility of a mentor and maintain their own continuous professional development (CPD); strive for excellence in teaching and are aware of recent developments in learning and teaching; are prepared to spend some time observing teaching sessions given by the Research Fellow/Lecturer and to give formative feedback. 7. However the most successful mentors are often: a member of staff relatively close in experience to the new employee, who will recall ‘what it’s like to be new at UCL’ or a more senior and experienced member of staff with whom the Probationary Lecturer or Research Fellow shares academic interests and who can become a good role model. 8. The Head of Department will make the final decision over the choice of mentor and will want to be sure that those who agree to become mentors understand and value the role and are prepared to undertake it. The Mentor/Mentee relationship 9. Mentoring is an informal, confidential and supportive process: the mentor does not have a management role in relation to the probationer and should not therefore be a Head of Department or appraiser. 10. The mentor/probationer relationship is intended to be a partnership that informs and strengthens the probationer’s academic activities through joint evaluation and discussion. The success of the relationship depends upon the commitment brought to it by both partners. The ideal partnership establishes a trust and mutual respect that encourages a free exchange of views and experiences, to the benefit of both parties. 11. The ways in which the mentor/mentee relationship will function will vary according to the individuals concerned and the kind of working relationship they build together. At the beginning of the process the mentor and mentee should discuss how and when discussions/meetings will be arranged, as a pattern of regular meetings may be useful. However both parties may agree to an ad hoc arrangement, to allow the mentee to initiate meetings whenever necessary, so any queries or concerns they have in connection with their work or departmental routines and procedures can be discussed as soon as they arise. 12. Mentors are not expected to know all the answers. They should aim to be a source of support to the mentee, an access point for information about the department and UCL and a channel for contact with others. In this way they can provide a means of entry to a useful network of contacts and support for a new member of staff. Support for the Teaching Role 13. Mentors have a responsibility for helping probationers to develop their teaching expertise in the discipline. This is an ongoing role throughout the probationary period and one that can significantly influence the teaching aspirations and standards of a newly appointed colleague. 14. One of the mentor’s key responsibilities is to observe probationers teach in various student learning situations and give constructive and confidential feedback. The probationer will need to advise the mentor of appropriate opportunities for this purpose and to discuss how such observation can be managed as naturally and unobtrusively as possible. Support for the Research Role 15. Where staff are engaged in their own individual research, the ideal situation is for the mentor to be sufficiently conversant with the field of study to advise on research as well as teaching. However, in some situations the Head of Department may need to appoint another member of the department specifically to take responsibility for advising a probationer on research 16. The most frequently voiced requests for advice and support for the research role concern setting up a research project and help with grant applications. Less experienced researchers may need help with writing papers, making presentations, setting and achieving research targets and getting their work published. It should also be noted that the Organisational Development team normally provides courses dealing with most of these matters. Support for Managing workload 17. Prioritising and planning work within the time available can be challenging for those whose experience of managing the conflicting demands of teaching, research and administration may be limited. In addition, some new employees will be keen to become fully involved in the department and may accrue departmental responsibilities very quickly. However the mentor can usually provide some helpful advice on managing workload, where necessary. Expected outcomes 18. The expected outcomes of a successful mentoring relationship for both parties are: 19. The new Lecturer or Research Fellow (Mentee) is clear about her/his role in the team in the Department and at UCL especially knowing how to manage time and activities for which they are responsible (research and teaching including curriculum and assessment design and review, delivery of courses and marking as appropriate) has been stimulated and challenged in her/his own thinking and approaches to their teaching, research and personal contribution to the Department has understood how to make the most of opportunities to develop their research within the context of the discipline / Department at UCL has benefited from several Peer Observation of Teaching sessions and received constructive feedback on her/his approach to their teaching has received support with their work towards the completion of the Arena Two or PCTLHPE (or equivalent course) if appropriate. 20. The Mentor has clear evidence of an enabling responsibility within the Department, showing the ability to develop and motivate colleagues has developed new staff development skills (through facilitating research in a less experienced member of staff, coaching them towards a greater understanding of learning and teaching and helping them to identify opportunities for knowledge transfer to the wider community) had contributed to the leadership of the Department through the integration of new staff within a successful research and teaching team has added to the evidence of their own professional development, thus contributing to their own career planning Other routes to mentoring 21. UCL also offers all employees who would like one, the opportunity to find a mentor through U-Mentor. Further details are available here. 22. There are also some places available each year for B-MEntor, the cross-institutional mentoring scheme for Black and Minority Ethnic (BME) academics and researchers. For further details and how to apply, please click here. Appendix F: Formal Probationary Meetings & Forms 1. It is expected that Line Managers will hold regular one-to-one meetings with all new employees, to provide information, support them in their new role, set standards, provide feedback on performance and progress and to address any concerns from the employee. These meetings should be held as frequently as deemed necessary but no less than once a month. Problems should not be left to a formal probationary meeting but raised in a one-toone meeting as they arise. 2. During the probationary period, 3 formal meetings will also be held at the following intervals: First meeting: Second meeting: Third Meeting Final meeting: ends At the end of the first month of employment. At the mid-point of the probationary period (month 3, 4, 6, 12). (Inexperienced Lecturers only): End of second year At least 4 weeks before the date on which the probationary period 3. A formal meeting may be held sooner if the employee’s performance or conduct is falling substantially short of the required standard. If this is proposed, it would be necessary to show that the employee had been provided with appropriate support and could not reasonably be expected to improve by the scheduled date of the formal meeting. Advice on this decision should be sought by the manager from UCL HR Consultancy Services. 4. After each formal meeting a review form must be completed and the probationer will be invited to add their own comments and to sign the form. A copy of the completed form will be provided to the probationer for their own records. The purpose of these formal meetings is as follows. First meeting 5. Within the first month of employment, the employee will have received an initial introduction to UCL, their department, team and role. 6. This meeting should be used to check everything is going well and whether the Induction Checklist has been completed. 7. Any training or development requirements identified by the manager or employee should be discussed and if necessary an action plan agreed. 8. The manager should check that the employee is aware of all compulsory training and that arrangements are made for the completion of this. 9. If not already in place, objectives for the probationary period must be set and noted. Second meeting 10. This is an opportunity to review the employee’s progress to-date and to discuss: Progress made through the induction programme. The standards, objectives or behaviours required for the post. Any training/development opportunities undertaken, or still required. Any issues or concerns. Whether the employee is on track to meet their objectives and successfully complete their probation. 11. If a manager is concerned that an employee is failing to meet a required standard in any way, they must raise these concerns at this meeting so the issue can be discussed. If a concern is not resolved, and is still considered significant, the manager must put it in writing after the end of the meeting. 12. If a standard or objective is not being met, the manager should ensure expectations are clearly restated, allow training and support to be put in place and afford sufficient time to improve. One-to-one meetings should be used within this timescale to assess improvement. Final meeting 13. This will normally be held at least 4 weeks before the end of the probationary period. 14. The employee’s progress during the probationary period will be discussed and the employee will be informed that: a) They have successfully completed their probationary period, or b) Their probationary period is being extended; the reasons why, the length of the extension, any support/training to be provided and any improvements that are required, or c) They have not satisfactorily completed their probationary period and their employment will be ended, following the required period of notice. 15. As one outcome may be non-completion of probation, employees will be entitled to be accompanied to the final meeting by a workplace colleague or trade union representative if they wish. 16. On successful completion of probationary period, the manager will complete the end of probation form and forward to Human Resources (ECA team) so that the employee’s record can be updated and a letter sent to the individual, and copied to the manager, confirming them in post. 17. When a probationary period is being extended, the detail as discussed in the meeting will be confirmed in writing to the individual by the line manager, including the new probationary end date, within 10 working days. 18. The HR ECA Team must also be notified to extend the end-date for probation. Forms Record of First Formal Meeting Record of Second Formal Meeting Record of Final Formal Meeting Appendix G: Extension of probationary period 1. A probationary period may be extended in the following circumstances: The manager has concerns about an employee’s performance, behaviour or conduct but there is a strong expectation that, with more time and support, problems that have been identified can be overcome The employee has not completed all mandatory training The employee has had a significant amount of time away from work (for example, on sick leave or maternity etc. leave) and has therefore been unable to demonstrate competence in certain areas. Following an appeal against dismissal on the grounds of unsatisfactory completion of probationary period, the sanction of dismissal is reduced to give the employee further time to achieve the required level of performance. 2. The decision to extend an employee’s probationary period may only be taken providing the following have been met: Throughout the probationary process, the new employee must be given the support and any training required to become an effective member of staff. If, at any time during the probationary period, an employee’s performance, conduct or attendance is deemed to be unsatisfactory, or they are not on track to complete any mandatory training or a required qualification, a prompt meeting must be held with them to discuss this. It is expected that further regular meetings will be held to monitor progress towards realistic targets and if necessary individuals are offered training, coaching and/or supervision to address problem areas. Concerns must have been discussed with the employee and appropriate support put in place, prior to the point at which they are informed their probationary period is being extended. 3. Only one extension to the probationary period will be permitted and this will be for no longer than 6 months. The six months may commence from the date the employee returns to work, where it relates to a long-term absence (e.g. if they were on up to 12 months’ maternity leave). 4. When a probationary period is extended, the employee must receive written notification of this from their line manager. Managers should contact HR Consultancy Services if they want to discuss the notification before it is sent. The notification will advise the employee of the improvements required, standards to be met and/or training which must be completed, along with the timescale. It will also advise that failure to meet these will result in the noncompletion of probationary period and therefore termination of employment. Appendix H: Ending a probationary period and the Appeal process 1. Throughout the probationary process, the new employee must be given the support and training required to become an effective member of staff. 2. If, at any time during the probationary period, an employee’s performance, conduct or attendance is deemed to be unsatisfactory, or they are not on track to complete any mandatory training or a required qualification, a prompt meeting must be held with them to discuss this. 3. It is expected that further regular meetings will be held to monitor progress towards realistic targets and if necessary individuals are offered training, coaching and/or supervision to address problem areas. 4. It is expected that proactive management in this way will enable the necessary improvements to be made within the required timeframe. However, where it becomes clear that no further training or support would allow the employee to reach the required standards, employment may be ended. 5. Employment may also be ended where the employee has failed to complete any mandatory training, despite support being given to enable them to do so. 6. If, during the course of an employee’s probationary period, it is suspected or established that the individual provided inaccurate or misleading information during the recruitment process, this may be considered a sufficient reason to end their employment. 7. Before any decision is taken, the employee will be invited to a hearing to discuss their continuing employment. The employee will be entitled to be accompanied by a workplace colleague or trade union representative if they wish and will be given full opportunity to state their case. HR Consultancy must be notified and may attend the hearing to give advice and ensure due process is followed. 8. For Academic Staff, where the Academic manager is considering termination, the hearing will be conducted by an ad hoc panel of the Academic Promotions Committee, made up of a Dean/Vice Dean (who is the Chair) plus two members of the Committee, normally one professorial and one non-professorial. All review forms should be made available to the panel which will then be expected to meet the probationer and the Head of Department prior to making a decision on the case. 9. When the decision is taken to end employment, the required period of notice will be given. If the manager decides it unnecessary for the employee to work through some or all of the notice period, pay in lieu may be offered instead. Notice periods 10. During the probationary period, the following notice periods will apply: Job Role/Grade Notice from employee to UCL Notice from UCL to employee Professional Services Staff, Grades 1-6 2 weeks 2 weeks Professional Services Staff, Grades 7-10 4 weeks 4 weeks Researchers (including Marie Curie Trainees) 4 weeks 4 weeks Teaching Fellows (including Clinical TFs) 4 weeks 4 weeks Academic Staff (including Clinical academics): Lecturer, Senior Lecturer, Reader, Professor 12 weeks 12 weeks 11. If an incident during the probationary period is so serious that it is considered to potentially be gross misconduct, this may lead to summary dismissal without notice. In such circumstances advice must be sought from HR Consultancy and a hearing convened. 12. In the event of alleged performance or conduct concerns regarding an Academic Staff member undertaking their third year of probationary service, these will be dealt with under Statute 18. Appeals 13. An employee has the right to appeal against dismissal on the grounds that they have not completed their probationary period satisfactorily, including for one or more of the following reasons: • • • The procedure - a failure to follow procedure had a material effect on the decision The decision - the evidence did not support the conclusion reached The penalty - was too severe given the circumstances of the case 14. An employee wishing to appeal should submit notice in writing, to their Dean or Head of Professional Service Division and copied to the Director, HR Consultancy Services. 15. The employee must be specific about the grounds of appeal as these will form the agenda for the hearing. 16. An appeal must be submitted within 5 working days of the employee’s receipt of the formal letter confirming that they are to be dismissed for failing to complete satisfactorily their probationary period. The decision to dismiss the employee will be unchanged unless and until it is modified as a result of the appeal. 17. Arrangements will be made for appeals to be heard as soon as reasonably practicable. 18. The employee will be notified as soon as possible of the time, date and place of the appeal hearing with a minimum of 10 working days’ notice. The employee will be advised that they may be accompanied by a workplace colleague or Trade Union representative. 19. Appeals will be heard by a senior manager who has not previously been involved. 20. In the case of Academic Staff, an appeal panel will be convened, consisting of one of UCL’s Deans as chair, a Head of Department (preferably in a kindred subject), plus one of the non-professorial representatives on the UCL Academic Promotions Committee. 21. A member of the HR Consultancy Services Team may provide professional HR advice to the hearing and HR will provide a separate person to be note taker. 22. The possible outcomes of the Appeal are: The appeal is not upheld and the decision to dismiss the employee stands. The Appeal Panel considered dismissal to be inappropriate, and the employee’s probationary period extended (see Appendix G). The appeal is upheld and the decision to dismiss the employee will be cancelled. If this occurs, the employee shall be paid in full for the period from the date of dismissal (if there has been any gap between the effective date of termination and the date of the appeal hearing). Under such circumstances, continuity of service will be maintained. 23. The result of the appeal will normally be notified to the employee orally within one working day and in writing within 10 working days of the hearing. 24. The decision of the Appeal hearing is final. 25. Appeals against dismissals in line with Statute 18, part IV, should follow procedures laid out in Statute 18, part V. Record of First Formal Meeting Confidential Name of probationer Department Name of manager Head of Department (if relevant) Employee start date This form should be completed following the first formal meeting, held at the end of the first month of employment and discussed with the probationer before both parties sign it. The probationer must be given a copy for her/his own records. Line Manager comments Standards discussed? Induction (refer to checklist) Yes / No Mentor allocated (if applicable) Name: Is probationer aware of their mandatory training requirements (delete as appropriate) and how to book themselves onto courses? Yes / No UCL e-learning module ‘Diversity in the workplace’ UCL Safety Induction UCL Information Security Induction UCL e-learning module ‘Green Awareness UCL An introduction to Research Student Supervision (if applicable) UCL Arena Two or Professional Certificate in Teaching and Learning in Higher and Professional Education (PCTLHPE) (if applicable) Recruitment and Selection HR Policy Briefing (if applicable) Please note appointment will not be confirmed unless all mandatory training has been completed Behavioural standards required for the role (specify below) Yes / No Relationship with manager(s), colleagues and students (where applicable) Yes / No Attendance, punctuality and overall conduct Yes / No Objectives for the probationary period (specify below) Yes / No Any training/development requirements identified Any areas in which improved performance is required Support/training that will be provided to support the probationer in improving their performance: Manager’s overall assessment: Progress satisfactory / Progress not satisfactory (delete as appropriate) Probationer’s comments: Manager’s signature Date Probationer’s signature Date Head of Department’s signature (where applicable) Date Please provide a copy of this completed form to the probationer and keep the original in the department. Record of Second Formal Meeting Confidential Name of probationer Department Name of manager Head of Department (if relevant) Employee start date This form should be completed following the second formal meeting, held at the mid-point of the probationary period (month 3/4/6/12/18 as appropriate) and discussed with the probationer before both parties sign it. Where performance is unsatisfactory please indicate the areas for improvement, as discussed, and any training/development needs. The probationer must be given a copy for her/his own records. Line Manager comments Induction (refer to checklist) Standards on-track for successful probation? Yes / No Mandatory training (delete as appropriate): UCL e-learning module ‘Diversity in the workplace’ UCL Safety Induction UCL Information Security Induction UCL e-learning module ‘Green Awareness UCL An introduction to Research Student Supervision (if applicable) UCL Arena Two or Professional Certificate in Teaching and Learning in Higher and Professional Education (PCTLHPE) (if applicable) Recruitment and Selection HR Policy Briefing (if applicable) Yes / No Yes / No Yes / No Yes / No Yes / No Yes / No Yes / No Please note appointment will not be confirmed unless all mandatory training has been completed Behavioural standards required for the role (specify below) Yes / No Relationship with manager(s), colleagues and students (where applicable) Yes / No Attendance, punctuality and overall conduct Yes / No Is the probationer on-track to meet their objectives? Yes / No Any training/development opportunities undertaken Any training/development still required Any areas in which improved performance is required Support/training that will be provided to support the probationer in improving their performance: Manager’s overall assessment: Progress satisfactory / Progress not satisfactory (delete as appropriate) Probationer’s comments: Manager’s signature Date Probationer’s signature Date Head of Department’s signature (where applicable) Date Please provide a copy of this completed form to the probationer and keep the original in the department. Record of Final Formal Meeting Confidential Name of probationer Department Name of manager Head of Department (if relevant) Employee start date This form should be completed following the final formal meeting, held no later than 4 weeks before the end of the probationary period and discussed with the probationer before both parties sign it. Where performance has been unsatisfactory and the outcome is likely to be non-completion of probation, the individual must be advised that they are entitled to bring a workplace colleague or trade union representative with them to the meeting. The manager may choose to contact their HR Consultant in advance of this meeting for further advice and guidance. The probationer must be given a copy for her/his own records. Line Manager comments Induction (refer to checklist) Required standards achieved? Yes / No Mandatory training (delete as appropriate): UCL e-learning module ‘Diversity in the workplace’ UCL Safety Induction UCL Information Security Induction UCL e-learning module ‘Green Awareness UCL An introduction to Research Student Supervision (if applicable) UCL Arena Two or Professional Certificate in Teaching and Learning in Higher and Professional Education (PCTLHPE) (if applicable) Recruitment and Selection HR Policy Briefing (if applicable) Yes / No Yes / No Yes / No Yes / No Yes / No Yes / No Yes / No Please note appointment will not be confirmed unless all mandatory training has been completed. Behavioural standards required for the role (specify below) Yes / No Relationship with manager(s), colleagues and students (where applicable) Yes / No Attendance, punctuality and overall conduct Yes / No Has the probationer met their objectives? Yes / No Any training/development opportunities undertaken Manager’s overall assessment (tick one box only): 1. Probation completed satisfactorily 2. Probation period to be extended 3. Probation not completed and employment ended □ □ □ 1. Probation completed satisfactorily Please pass this form to the probationer so they may add any comments and then ensure it is signed by all parties. A copy of the completed form must be provided to the probationer and to HR ECA team, so a formal probation completion letter can be sent out. 2. Probation period to be extended Probation is to be extended by ______ months, until _________________________ Reasons for the extension Areas in which improved performance is required: Support/training that will be provided to support the probationer in improving their performance: Please pass this form to the probationer so they may add any comments and then ensure it is signed by all parties. A copy of the completed form must be provided to the probationer within 10 working days and to HR ECA team, so the probationary end date can be updated. 3. Probation not completed and employment ended A minimum of 4 weeks’ notice has been given and probation will end on __________ An employee, whose employment ends due to non-completion of probationary period, has the right of appeal against this decision. They must be informed of the appeals process which can be found within Appendix H. Please pass this form to the probationer so they may add any comments and then ensure it is signed by all parties. A copy of the completed form must be provided to the probationer and to HR ECA team and a leaver form completed on SiP. Probationer’s comments: Manager’s signature Date Probationer’s signature Date Head of Department’s signature (where applicable) Date Please provide a copy of this completed form to the probationer and to HR ECA team and keep the original in the department.