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Procedure for Setting and Reviewing Probationary Targets
This document constitutes an update and summary of the following Key Documents – it
should be read in conjunction with the more detailed Appendices 5A and 5B
1. Probationary period procedure and criteria (Non – Clinical Academic Staff)
Committee A.
2. Guidelines for the implementation of the appointment and development of
probationary academic staff.
3. Academic Promotions Board (Lecturer Advancements).
Context
The academic probationary period provides a two-fold opportunity. For the new
lecturer, it allows development of skills in teaching, research and academic
administration, within a plan where targets reflect institutional needs and priorities,
and personal developmental goals. For the institution, it provides time to assess the
capability and commitment of the individual for an academic career, and where
possible to provide support in realising their potential.
Procedure
1. When a decision is made to appoint a new lecturer, a decision against the following
criteria should be taken by the Dean in conjunction with the Head of School as to whether
the individual should be put on probation. All persons appointed to Lectureships will
automatically serve probation unless:
(i)
(ii)
(iii)
The person has successfully completed three years of probation in a University.
The person previously held an academic appointment in another University. In this
case, a reduction in the length of probation, or a decision that no probation is required
is made by the Dean in conjunction with the Head of School, to be counter-signed by
the Vice-Principal.
The individual has an otherwise extensive and relevant research, teaching or
experiential career portfolio.
Note:
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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Senior Appointments are not normally subject to probation. However, in exceptional
cases the Dean in conjunction with the Head of School may recommend that
probation be served.
Fixed Term contracts: Individuals appointed to full Lectureships but on a fixed term
basis will normally be treated as on probation for the duration of their contract,
although the probationary period will not normally exceed three years (not including
any periods of maternity leave, sickness absence or leave of absence).
Where the person appointed has previously held a full-time academic appointment in
another university, the Dean shall decide any reduction in the length of the
probationary period. When the person has successfully completed three years of
probation, then there will be no further need to serve a probationary period.
This will include the requirement for targets to be set for the period of the
appointment and for attendance at the PG CAP. If the individual is later made
permanent, their service on a fixed term contract will be taken into account towards
completion of probation.
2. On appointment the following paragraph is included in the conditions of employment
statement:
Probationary Period
To be offered confirmation of employment the University shall normally be satisfied
that the member of staff: -
• has satisfactorily engaged in the teaching of prescribed courses and the
supervisory and tutorial work assigned to him or her.
• has satisfactorily engaged in research towards the advancement of his or her
subject, or where appropriate has achieved the completion of a research degree.
• has conscientiously carried out such examining duties and satisfactorily
performed such administrative duties as have been required of him or her.
• shows promise by his or her work and enterprise of continuing to develop as a
university teacher and scholar
• has attended the Postgraduate Certificate in Academic Practice.
A copy of the document Guidelines for the implementation of the appointment and
development of Probationary academic staff is attached and is part of the
conditions of employment.
3. On commencement of appointment, The Human Resources Department shall inform the
relevant Dean.
4. As part of the conditions of appointment, the Dean, in consultation with the Head of
School, should set broad targets that are to be achieved over the three year period for
satisfactory completion of probation. These should be so constructed as to enable the
individual to achieve balanced professional development and comply with the
requirements of their contract.
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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i) In setting probationary targets, consideration will be given to ensuring the allocation
of appropriate: teaching duties; co-supervision of Postgraduates; and minor
administrative responsibilities (e.g. a probationer would not normally be expected to
be a Course Director).
ii)
iii)
iv)
The Dean, again in consultation with the Head of School, should also set detailed
targets for the first year of probation. At the end of each year detailed targets will be
reviewed within the School in the context of the initial plan, personal performance
and development, and School priorities and needs.
Initial and broad targets, along with notification of the mentor, should be provided by
the Dean to the Director of Human Resources as soon as possible after the
appointment of the lecturer, and within three months of the date of commencement.
The Director of Human Resources will then write formally to each individual
lecturer, ensuring they are aware that these targets form part of their contract.
v) The Director of Human Resources will confirm targets and guidelines to the
nominated Mentor.
vi)
The agreed broad and detailed targets should be communicated to the Academic
Promotions Board (Lecturer Advancements) by the Director of Human Resources as
part of the first annual review of the staff member concerned.
5. The Director of Human Resources shall request Heads of School to:
(i)
(ii)
(iii)
(iv)
N.B.
Submit an annual statement of the progress of each lecturer on probation against the
agreed criteria and targets set.
For each lecturer who will reach the date of contractual completion of probation
within the succeeding six-month period, a positive or negative recommendation about
completion of probation with reasons.
Notification to the Deans and Heads of School of imminent completion of the
probationary period will take place not less than six months prior to completion.
Conditional prior approval of completion by the review board may not exceed six
months
The review board will meet twice annually to consider probationary reports and
completion of probation. Reports will only be submitted once per year for each
individual. The first probationary report for any individual should be submitted not
less than 11 months from commencement of probation, and should not exceed 17
months – these periods being determined by the timetableing of review board
meetings.
6. The Director of Human Resources shall send for each lecturer on probation copies of any
previous statements by the Head of School about the lecturer’s progress along with the
statements and recommendations for that year, to the Academic Promotions Board
(Lecturer Advancements).
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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7. Criteria for successful completion of probation.
For a person to be offered confirmation of employment, the University shall be satisfied
that the criteria laid down in the conditions of employment statement and all targets set
have been met. Positive or negative recommendations about every lecturer at the end of
his or her probationary period are made to PME on a six monthly basis.
8. The Director of Human Resources will notify the decision of the PME to the lecturer, and
the Head of School. Confirmation of completed probation will be notified concurrently
with confirmation of employment.
9. Procedure for dealing with a failure to meet probationary requirements:
If the Academic Promotions Board (Lecturer Advancements) does not recommend
completion of probation, the Director of Human Resources, outlining the reasons for this
decision, will formally write to the individual. In most cases a further final year of
probation can be agreed, during which the Head of School and Dean will work with the
individual in setting targets and monitoring progress. It will be made clear to the
individual that this is a final extension of probation and that failure to meet targets set
could lead to dismissal from post. The individual will have a right of appeal against the
decision that he/she has not completed probation. In the event of a failure to complete
probation as a result of the extension, proceedings in relation to termination of
employment will be initiated under Statute XXV.
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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APPENDIX 5A
Guidelines for the implementation of the appointment and development of
probationary academic staff
Preamble
In 1971 the Academic and Related Salaries settlement included an agreement on the probationary
period for Lecturers. A working party of the then Committee "A" resulted in the Probationary
Period Agreement which is reproduced as Appendix 5 in the Staff Handbook.
Certain of the references in that agreement are now out-of-date, but the intention of this paper is
not to up-date that document but simply to make clearer what is expected of a probationary
lecturer, and the support and assistance he or she may expect from the University.
Introduction
The main aim of the probationary period, which perhaps has become obscured, is to ensure the
permanent appointment of academic staff eventually capable of the highest quality in both
teaching and research, and competent in academic administration. Care must therefore be
taken to protect probationary staff from duties or tasks that detract effort away from
developing and demonstrating emergent abilities in these crucial areas.
The probationary period is normally a total of three years (concurrent periods of maternity leave,
sickness absence or leave of absence should not be counted as part of the probationary period).
Where the person appointed has previously held a full-time permanent academic appointment in
another university, the Dean shall decide any reduction in the length of the probationary period.
When the person has successfully completed three years of probation, then there will be no
further need to serve a probationary period.
Discretion may also be applied in cases where an extensive and relevant research, teaching or
experiential career portfolio can be adequately demonstrated.
Appointment
In order to achieve the objective, referred to above, the following procedures will be followed:
1 The Head of School, in consultation with the Dean, normally should approve for initial
appointment only those already in possession of a PhD or who are in the final stages of
submission of a thesis and whose Head of School/Supervisor has supplied written
confirmation that success is highly likely.
When a School wishes to appoint without this qualification then a special case must be made
to the Principal/Vice-Principal via the Dean, stating the extenuating circumstances and listing
all other candidates for the post. If the appointment proceeds, then the staff member must
immediately register and embark on study for a higher research degree.
[A PhD as usual is intended to be synonymous with an active research record.]
2 The Dean and Head of School should be satisfied that the person is active in research; has
reasonable presentation skills; a sound grasp of the subjects likely to be taught in the first
few years; a general understanding of the standards required and of current developments
Authors: Human Resources
Approved By: PME
Date: June 2003
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in University education; and has considered the merits or otherwise of innovative
teaching techniques.
3 As part of the conditions of appointment, the Dean, in consultation with the Head of
School, should set broad targets that are to be achieved over the three year period
for satisfactory completion of probation. These should be so constructed as to enable
the individual to achieve balanced professional development and comply with the
requirements of their contract.
4 Such targets should involve teaching, research and training but may also include minor
administrative tasks. They must, however, exclude all major administrative functions
such as course director, admissions tutor, or examinations officer. The aim of this
provision is to ensure that the probationer's teaching and research goals are achievable.
5 The Dean, again in consultation with the Head of School, should also set detailed
targets for the first year of probation. At the end of each year detailed targets will be
reviewed within the School in the context of the initial plan, personal performance
and development, and School priorities and needs.
6 Initial targets should be agreed and provided to the Director of Human Resources as soon
as possible after the appointment of the lecturer, and within three months of the date of
commencement.
7 The Director of Human Resources will then write formally to each individual lecturer,
ensuring they are aware that these targets form part of their contract.
The agreed broad and detailed targets should be communicated to the Academic
Promotions Board (Lecturer Advancements) by the Director of Human Resources as part
of the first annual review of the staff member concerned.
Development
In consultation with the Head of School, the Dean shall appoint a senior academic staff member
of the School (a Mentor) who shall be responsible for offering advice and guidance on the
performance of duties to the probationary member throughout the probationary period.
The Mentor should also monitor the probationer's progress and report annually to the Academic
Promotions Board (Lecturer Advancements).
The Academic Promotions Board (Lecturer Advancements) as part of the annual review should
consider the development and progress of each staff member on probation and issue notification
in writing to the member, the Head of School and the Mentor of satisfactory or unsatisfactory
development, performance or conduct. The report should state progress against initial
probationary targets to be achieved during the ensuing year and any remedial steps required.
When necessary the report should provide advance notice that the position is unlikely to be
confirmed.
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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Assistance from the University
Probationers are expected to attend part or all of the Postgraduate Certificate in Academic
Practice programme, organised by Human Resources Department. It is believed considerable
benefits come from probationers being able to meet and share experiences. These facilities will
also be organised.
The individual can approach his or her Mentor for any guidance or help, independent of the Head
of School, if appropriate, and can also seek assistance from the HR Department for teaching and
learning guidance.
The individual may also at any time contact the Dean for assistance in any matter related to their
probation and academic development.
Criteria for the satisfactory completion of probation
For a person to be offered confirmation of employment, the University shall be satisfied that
having regard to his or her age, standing, experience, and to the opportunities which he or she has
been offered:
1 he or she has satisfactorily engaged in the teaching of prescribed courses and the
supervisory and tutorial work assigned to him or her
2 he or she has satisfactorily engaged in research towards the advancement of his or her
subject, or where appropriate has achieved the completion of a research degree.
3 he or she has conscientiously carried out such examining duties and satisfactorily
performed such administrative duties as have been required of him or her
4 he or she shows promise by his or her work and enterprise of continuing to develop as a
university teacher and a scholar
5 he or she attends PG CAP. Attendance on this programme will lead to membership of the
Institute for Learning and Teaching.
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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THE ROLE OF THE ACADEMIC MENTOR
APPENDIX 5B
1 The position of the Academic Mentor arises from the current national collective
agreement on Probationary Staff (reproduced as an Appendix of the Staff Handbook)
which provides that where an appointment is made for a probationary period the
University must provide for the probationer training of a helpful and comprehensive
nature and this is to include advice and guidance by a senior colleague nominated (by
the Head of School) for this task.
2 In 1995 the University clarified the support and assistance the Probationer may expect
by publishing a document 'Guidelines for the implementation of the appointment and
development of probationary academic staff'.
3 The Guidelines require the Dean in consultation with the Probationer's Head of School
to appoint as Mentor a senior academic staff member of the School.
The Head of School should not normally act as a mentor to any member of their
School staff.
As the relationship between Mentor and Probationer is based on trust and confidence
it is essential that both Mentor and Probationer are consulted before a mentoring
appointment is made and should it be necessary either is free to ask the Dean to
appoint another Mentor after consulting the relevant Head of School. A Mentor should
be appointed within three months of the Probationer commencing but it may be useful
to allow a newly appointed Probationer time to get to know senior staff before
nominating a Mentor.
4 On appointment a Mentor should ensure that he/she is familiar with the conditions
which require to be met for satisfactory completion of probation and where appropriate
for progression up the lecturer scale. The relevant criteria are set out in the Staff
Handbook.
5 The role of the Mentor must not be confused with that of a Probationer's Reviewer.
The Mentor is responsible for offering supportive advice and guidance on the
performance of duties to the Probationer throughout the probationary period. For this
purpose the mentor and Probationer may wish to make use of the help available from
the Director of Staff Learning and Development. The Reviewer may be the Head of
School or a senior member of staff to whom this responsibility has been appropriately
delegated.
6 The Mentor is required to make a factual progress report annually to the Academic
Promotions Board (Lecturer Advancements) which in turn is required to notify the
Mentor of satisfactory or unsatisfactory development, performance or conduct by the
Probationer.1 This report will normally be copied to the Head of School for information.
It would be in keeping with the spirit of the relationship between Mentor and
Probationer for such a report to be in terms acceptable to both parties.
7 The precise relationship between Mentor and Probationer may vary considerably
depending on the Probationer's previous experience, age and qualifications but a
Mentor would normally be expected to arrange to meet with a Probationer at least
three times in the academic year (normally once per academic term) with one of the
meetings being timed to allow the Mentor to make an up-to-date written report to the
Academic Promotions Board (Lecturer Advancements).
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
8

8 The objectives of the Head of School, the Probationer and the Mentor are of course
the satisfactory completion of probation but while the Head of School is responsible for
the management of the lecturer's probationary period - by, for example, ensuring the
Probationer is excused major School and administrative functions such as admissions
officer or examinations officer - the Mentor's role is to use his or her own experience
and knowledge to give advice and support to the Probationer and while a Probationer
may seek help and guidance from other staff as appropriate the following are examples
of how a Mentor may be able to assist:
Teaching
• discussing the preparation of lectures
• observing a lecture when requested to do so by the Probationer
• in consultation with Head of School, advising on curriculum development
• responding to student evaluation questionnaires
• preparing and marking examinations and assessments
• dealing with group projects and innovative teaching methods
• identifying literature which may assist Probationer 2
Research
• developing a research competence/programme
• advising on sources of materials
• obtaining funding
• advising on possible contacts for collaborative projects
• writing proposals
Administration
• time management
• dealing with students/mentees
• acting as first source of information about the University
• conducting relationship with Head of School and allocation of duties
1 At the time of preparing this document while some Mentors had been asked to provide
the necessary report they had generally been asked to do so by the Head of School.
However the revised guidelines state that the Mentor should report to the Academic
Promotions Board (Lecturer Advancements); the request for the report should come direct
from the clerk to that Board rather than via the Head of School. Similarly Mentors should
receive the Review Board's notification directly.
2 The Staff Learning and Development Director holds texts and manuals dealing with a
range of issues frequently encountered by Probationers and other staff who wish to develop
teaching and assessment and a list of the current holdings is available on the Internet.
Authors: Human Resources
Approved By: PME
Date: June 2003
Version:
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