GUIDELINES AND PROCEDURES
FOR ACADEMIC STAFF IN THEIR PROBATIONARY PERIOD
INDEX
1.
Introduction
1.1 Purpose of Probation
1.2 The Probationary Period
2.
Support Processes
2.1 Head of Department
2.2 Mentor
2.3 The Appraisal Process
2.4 Staff Development
2.5 Extra-departmental Support
2.6 Review Mechanism
2.7 Promotion from Lecturer 7 to Lecturer 8
3.
Formal Procedures
3.1 Role of the Head of Department
3.2 Probationary Agreement
3.3 Role of the Dean
3.4 Faculty Committee
3.5 Promotions Committee
Introduction
It is Lancaster University's practice to appoint academic staff whom it feels have achieved the status
of or have the potential to become successful teachers, researchers and administrators. As part of
the formal process of appointment a new entrant may be given a probationary period of up to three
years. These guidelines and procedures are for the use of new staff and Heads of Department and
have been devised to assist all parties in ensuring that probation is a constructive and successful
process for the individual, for the department and for the University.
1.1
The Purpose of Probation
The purpose of this probationary period is for the new lecturer to develop the appropriate skills and
knowledge in teaching, research and administration to a sufficient level for transfer to the
permanent staff of the University. This period of probation will be supported by the Head of
Department and other colleagues.
New full-time academic staff at Lancaster are normally appointed for a probationary period of three
years. However, the length of the designated period will vary, depending on past experience and
will be determined by the appointing committee.
1.2
The Probationary Period
The probationary period should be one in which new members of staff are given every reasonable
opportunity and support to develop their work to the appropriate professional standard.
Departments and faculties thus have the responsibility to ensure that individuals are given full and
clear information about the requirements of the probationary period and time and resources to
fulfil these requirements.
Criteria for successful completion of the probationary period will be related to departmental
requirements.
On or shortly after arrival the new lecturer and the head of department will draw up a Probationary
Agreement (see page 4) setting out criteria for success in all appropriate areas of work, the nature
of the support that will be provided within and outside the department, and arrangements for
formative and final review of the lecturer's probation. Successful fulfilment will constitute the basis
of the probationer's case for transfer to the indefinite staff.
2.
Support Processes
2.1
Head of Department
The Head of Department is responsible for the overall arrangements for induction of new staff
members into the department. This should include:
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the provision of initial information about the department
the designation of a maximum percentage of the average teaching load in the department,
to allow the probationer to prepare teaching adequately and establish a research
programme
the identification, with the probationer, of a mentor within the department who will
provide regular help and support in research and teaching and assist in the development of
Teaching Profiles
the establishment of a timetable of appraisal meetings for the probationary period
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2.2
the drawing up of a Probationary Agreement with the probationer which will identify the
criteria for successful completion of the probationary period and the training and support to
be provided
the submission of a case during the final year of probation
Mentor
A mentor within the department will be agreed with each new lecturer. This person should be
sufficiently experienced to offer advice and guidance on a range of issues which the probationer
may confront. The mentor will meet the new lecturer on a regular basis to review progress and
offer necessary support. Amongst other matters, the mentor will assist the probationer in the
development of a Teaching Profile. Appraisal will not be conducted by a probationer's mentor.
2.3
Appraisal Process
The University has a scheme for the regular review of the work of all staff. The appraisal is carried
out by a trained appraiser, usually the Head of Department or another senior colleague. Those
within their probationary period will be appraised annually. The new lecturer will thus normally
expect to have two formal appraisal interviews within the course of a three-year probationary
period. The Probationary Agreement drawn up at the start of a lecturer's career in the University
will form the basis of this on-going review.
2.4
Staff Development
The Staff Development Policy states that "Staff who are required to teach but who have less than
the equivalent of three years full-time teaching experience will be expected to undertake a
programme of teacher training". Suitable courses or other programmes will be identified by the
new lecturer and the head of department with assistance where required from the Staff
Development Officer. The programme of training may be undertaken via courses external to the
University, in-house courses as part of the University's staff development programme, or through
modular self-instruction, depending on the circumstance and background of the person involved. It
is the Head of Department's responsibility to develop with the Probationer an appropriate
programme. Financial support or other resources and assistance are also available to provide help
in developing other areas such as research and administration.
2.5
Extra-departmental Support
The above support arrangements are intended to provide the probationer with a wide range of
possibilities to help ensure that the probationary period is successfully completed. Outside the
Department the Dean of Faculty also monitors the performance of probationary staff.
2.6
Review Mechanism
The process of probation includes regular reviews. There will be informal review discussions with
the mentor, as described above. In addition the scheme for annual appraisal ensures that a person
on a three year probationary period will have a minimum of two formal appraisal interviews with
the head of department or their nominee.
During the final year of the probationary period there will be a formal summative review of the new
lecturer's work. This is conducted by the probationer and the Head of Department. The
completed form and supporting documents, including the Probationary Agreement, are then
forwarded to the relevant Faculty Committee.
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If the probationary period is found to have been satisfactorily completed, the probationer will be
transferred to an indefinite appointment. An appointment may be confirmed at a date earlier than
that originally agreed.
If a Head of Department, after review meetings with the probationer, forms the opinion that the
latter's probationary period should not be confirmed the probationer will be notified during the year
before the termination of probation (or earlier if the decision is reached before that date). The
probationer will be given a copy of the completed form to be submitted to the Faculty Committee.
If there are doubts about performance, an extension of probation may be given. Currently the
maximum duration of a probationary contract (including extension) is 4 years. Extensions are
normally granted for one year only but, exceptionally, and provided that the total period does not
exceed 4 years, a further one-year extension may be granted. If, at the end of this period, the
probationer has not been able to reach the required standards of work, no further extension can be
made and the appointment is terminated upon due notice.
2.7
Promotion from Lecturer grade 7 to Lecturer grade 8
The majority of probationers are at an early stage in their career and accordingly are appointed on
the Lecturer 7 grade. The transition to Lecturer 8 grade requires a positive decision to promote
based on the promotions criteria and on the basis of "(a) a satisfactory standard of work and (b)
academic attainment and ability, which will involve an appropriate level of achievement in teaching
and its directly associated duties together with the successful furtherance of his/her research or the
development of his/her subject."
The review mechanism provided within the probationary
guidelines allows these two procedures to mesh with a greater degree of coherence than hitherto.
Progress towards satisfying the criteria of a probationary agreement may be used as evidence to
support consideration of a promotion from Lecturer grade 7 to 8.
3.
Formal Procedures
3.1
Role of the Head of Department
The Head of Department is required to draw up the Probationary Agreement with the probationer
and his/her mentor and to ensure that the support mechanisms as described above are made
available. At the final review stage Heads of Department will submit the case for approval on
behalf of their probationers.
3.2
Probationary Agreement
The Head of Department will draw up a Probationary Agreement with the new lecturer which
should include, as mentioned above:
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the criteria for successful completion,
a 'Discipline Profile' which describes the expected characteristics, experience, personal and
inter-personal skills, research and teaching abilities of an academic within the discipline,
an identified maximum percentage of the average teaching load in the department, to allow
the probationer to establish a research programme and prepare teaching adequately
the name of the colleague who has been given the role of Mentor,
the name of the lecturer's appraiser and a proposed date for the first formal appraisal
interview at the end of the first year,
the names and roles of any other colleagues providing any kind of supervision or support,
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a timetable for meetings,
a list of specific training and development opportunities to be provided for the probationer
(whether within the department or faculty or from the central staff development office or
from outside the University),
and any other necessary arrangements
Because of differences in new entrants' backgrounds and experience, and in the requirements of the
department and the discipline, there will be considerable variation between the agreements of
different individuals. However, all should meet the requirements of University policy on Staff
Development and other matters.
The Probationary Agreement will be subject to the agreement of the Dean of the Faculty. This is to
ensure comparability of agreements between the various departments and consistency with the
aims of the probationary period, and to permit support and guidance from the Faculty. The
document will then constitute an agreed statement of undertaking which can be used as a basis for
the summative review conducted during the final year of probation. At that time it will be
submitted with the completed form, to the Faculty Committee and, if appropriate, to the
Promotions Committee.
Where the procedures above are departed from the change must be approved by the Promotions
Committee.
3.3
Role of the Faculty or School Dean
The Dean has the responsibility to monitor any Probationary Agreement drawn up within the school
or faculty in order to ensure that agreements in the various departments are consistent with the
aims of the probationary period and to assist in the probationer's career development. In addition,
where a complaint arises in the course of the probationary period, it will be the Dean's responsibility
to appoint a senior person to consider and help to resolve the matter. (N.b. Any appeal against the
decision of the Faculty or Promotions Committees will be dealt with under the University's usual
appeals procedures -see section 3.6).
3.4
Faculty Committee
There are currently four Faculty Committees. The role of the Faculty Committee is to consider, inter
alia, probation cases and, where appropriate, to forward its recommendations to the Promotions
Committee.
3.5
Promotions Committee
The Promotions Committee receives and considers recommendations from Faculty Committees to
extend or terminate probationary appointments.
The Promotions Committee may ask a Head of Department and/or a probationer to appear before it
in order to clarify and/or amplify aspects of the case under consideration. It is possible that, after
such consideration, the Committee will make a decision or recommendation other than that
proposed by the Faculty Committee.
The approval of the Promotions Committee must be sought at the beginning of a probationary
period where the procedures described under the heading "Probationary Agreement" above are
departed from for any reason.
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As soon as possible after its meeting, the Committee will inform the probationer in writing of its
decision and, in the case of extension or termination, its reasons. Details of the formal appeal
procedures will also be provided.
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