Probation Procedure
1 Staff Probationary Period
For employees who are new to the University, or existing employees who are appointed to different posts,
the first period of the appointment is a probationary period. During this period the manager will help the
employee become sufficiently familiar with the University and the requirements of the role. Suitability for the
position to which the employee has been appointed will also be assessed. The probation schedule and
meetings normally act as the employee’s appraisal for the first year.
The probationary period is normally of twelve months duration.
2 Procedure for Monitoring Performance during the Probationary Period
2.1 The job description and person specification form the basis of the performance assessment. It is
important that the job description contains standard descriptors appropriate to the grade of the post.
2.2 At the appointment stage, any areas of the person specification which will need to be supplemented by
appropriate training, support or other intervention should be noted by the line manager.
2.3 An agreed schedule for the probationary year should be drawn up by the line manager with the
employee which details the required targets and objectives and gives timescales by which the identified
progress should be made. The schedule should include the individual training and development plans
and,an induction programme which have been identified as appropriate for the employee. A copy of the
schedule will be held on the employee's personal file by Human Resources.
2.4 Review sessions should be held at regular intervals during the probationary period to discuss progress.
2.5 Approximately six months after commencement of the appointment, Human Resources will contact the
manager to ascertain whether the desired progress is being achieved or whether any further action is being
taken.
2.6 At the end of the probationary period, Human Resources will seek final confirmation from the manager
whether the probation can be confirmed. If this is agreed, Human Resources will notify the employee that
the probation period has been successfully completed.
3 Stage 1 – Informal Steps
3.1 If at any time during the probationary period the manager has concerns that the employee’s
performance is not meeting the required standards s/he will discuss this with the employee as soon as
possible. The manager will then confirm in writing to the employee:
 the areas of shortfall, with the evidence for the same, which will need to be improved in
order to satisfy the probation period, the standards which need to be attained and the
method of measurement,
 any assistance, support or training which will be provided to assist the employee in
meeting the required standards,
 a date for further review,
A copy of this letter should be sent to Human Resources.
4 Stage 2
4.1 If the steps taken to resolve issues informally have not allegedly resulted in the employee meeting the
required standards or if there are very significant concerns the line manager will advise the employee in
writing of the need to hold a formal meeting, giving 2 weeks’ notice and giving details of the issues. The
employee will have the right to be accompanied by a fellow employee or trade union representative. The
line manager will be accompanied by a member of Human Resources who will provide advice and take
notes of the meeting.
4.2 The aim of this meeting is normally to agree and implement a series of actions to help the employee
achieve the required standards in the role. Following the meeting the action to be taken and a date for
further review will be confirmed in writing by the line manager within one week.
4.3 An outcome of the meeting can be that the probation period is extended for a fixed term of a maximum
of six months. This will be confirmed in writing to the employee by Human Resources within one week of
the meeting.
For employees who have previous service with the University an outcome of this meeting could be that
they return to a similar post and at the grade previously held, if such a post were available.
The University reserves the right not to pay an incremental salary increase, which might otherwise have
been due, during the current year as an outcome of any of the formal stages of this probation procedure.
The University reserves the right to delay the decision on an incremental salary increase pending action
under this probation procedure. If the decision is made following action under this procedure not to pay an
incremental increase, no payment will be made during the current year. However, if this decision is not
made, the payment will be made in the next payrun and will include backdated pay.
4.4 If it is considered by the manager that the employee has not satisfactorily completed the probationary
period action (either with or without an extention to the probationary period) will be taken under the
Dismissal Procedure, which is contained in the staff handbook.
5. Appeals
An employee who wishes to appeal against a decision arising from point 4.3 above, should inform Human
Resources, in writing, within two weeks of the date of the decision, setting out the grounds for appeal.
(Appeals against dismissal are heard under the Dismissal Procedure). Human Resources will be
responsible for the arrangements for the hearing of appeals under this procedure and these arrangements
will be notified to the employee in writing. Two weeks’ notice will be given of the hearing arrangements and
the employee will be advised of the right to be accompanied by a trade union representative or fellow
employee. At the appeal, the decision made will be reviewed but the sanction cannot be increased.
Appeals will normally be heard by an independent manager who is normally more senior to the manager
who decided upon the sanction, and who has not previously been involved in the action under this
Probation Procedure against the employee. In exceptional circumstances, the manager hearing the appeal
may be at the same level as the manager who decided upon the sanction. Decisions by managers hearing
appeals are final.
The appeal hearing will operate on the basis of reviewing the decision to which the appeal relates.
Ordinarily it will not be conducted as a re-hearing of the evidence made when the initial decision was taken
but will rather be concerned with reviewing the application of the procedures, whether, on the basis of the
evidence presented at the meeting or the hearing, the decision was appropriate, whether the sanction is
proportionate to the employee’s level of performance and capability and considering any new material
evidence not available at the original hearing which the staff member wishes to introduce. Witnesses may
be called upon to provide statements to the appeal hearing in writing or in person as appropriate and
reasonable.
Normally, the hearing will be attended by the manager who made the decision against which the employee
is appealing, a member of Human Resources who will provide advice to the manager who made the
decision, the employee and, if chosen, his/her trade union representative or fellow employee. The member
of Human Resources who is providing advice to the manager who made the decision will not present the
case as his/her primary role is to advise the manager who made the decision. A further member of Human
Resources will also be present at the hearing to provide advice to the chair and to keep a formal record of
the hearing.
The stages of the appeal hearing are as follows:
 the employee and/or any accompanying person will present his/her case for appeal
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including any fresh evidence not available at the time of the original hearing and directly
related to the case under appeal, and any written statements by witnesses may be
presented. Any fresh evidence should be submitted one week in advance of the appeal
hearing, unless there is a good reason why this is not possible, in which case the chair
may decide not to allow it. Witnesses may be called upon to provide statements in
person, where reasonable and appropriate. New information on unrelated issues cannot
be introduced.
the manager who decided upon the sanction will present the case on behalf of the
University including any fresh evidence in response to fresh evidence submitted by the
employee making the appeal, and any written statements by witnesses may be
presented. Witnesses may be called upon to provide statements in person, where
reasonable and appropriate. New information on unrelated issues cannot be introduced.
both parties may ask questions/clarify points arising from statements made;
the manager hearing the appeal may ask questions at any stage in the hearing;
both parties sum up in the order of the employee and/or any accompanying person first,
and the manager second;
an adjournment will take place to enable the consideration of all the facts by the manager
hearing the appeal, so that a decision can be made;
the employee and any accompanying person will be informed verbally of the decision made
and reason for the decision;
the decision and reason for the decision will be confirmed in writing by Human Resources
within one week of the appeal hearing.
Author: Human Resources
Last Reviewed: February 2009
Last date for review: March 2011