Procedure for Setting and Reviewing Probationary Targets
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1 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 Procedure 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. 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: 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 1
2 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. 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) 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. 2
3 iv) 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 timetabling 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). 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 3
4 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. 4
5 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 5
6 required and of current developments 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. 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 6
7 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 Human Resources 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 Higher Education Academy. 7
8 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). 8
9 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 Director of the Educational Development Unit 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. 9
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