Guidance on Appointment, Probation, Development, Performance Review and Confirmation of Appointment

Transcription

1 Non-Clinical Lecturers (Academic and Research Level C), Non-Clinical Senior Lecturers (Academic and Research Level D), Clinical Senior Lecturers and Clinical Lecturers Guidance on Appointment, Probation, Development, Performance Review and Confirmation of Appointment Introduction The purpose of this note is to provide guidance on the appointment, probationary arrangements and development requirements/opportunities for Non-Clinical Lecturers, Non- Clinical Senior Lecturers, Clinical Senior Lecturers and Clinical Lecturers. An Appointment/Probation Review Flow Chart is shown as Appendix A. This guidance is applicable to all lecturers, irrespective of whether they are to be appointed on permanent or fixed-term, or full-time or part-time contracts. Non-Clinical Lecturers, Non-Clinical Senior Lecturers, Clinical Senior Lecturers and Clinical Lecturers on probation are not covered by the College Statutes. Non-Clinical Lecturers (Level C), Non-Clinical Senior Lecturers (Level D) and Clinical Senior Lecturers Approval Procedures College approval for recruitment to a post of Non Clinical Lecturer/Non Clinical Senior Lecturer/Clinical Senior Lecturer should be made using the request to recruit form. This should be forwarded to the Faculty HR Manager for approval. Within the Faculty of Medicine completed request to recruit forms should be forwarded to the Dean s Coordinating Group for consideration, and will be subject to the Group s approval. For Clinical Senior Lecturer posts NHS Trust Approval is required. It is essential that the relevant NHS Trust has been involved in the process leading up to advertising (e.g. agreed the job description) and has given in-principle agreement to an honorary contract being issued to the successful candidate. The NHS Trust will also field one or two representatives to sit on the Appointments Committee. Royal College Approval is also required before advertising the post. The Royal College Regional Adviser should be sent the job description and person specification for approval. Once approval is given, a copy of the approval letter is sent to the AAC Administrator at the Royal College asking them to provide names of the Royal College representatives to sit on the Appointments Committee. Recruitment and Selection Imperial s future as a world-class university is dependent upon attracting and appointing excellent academic staff. In addition, the College wishes to promote diversity and improve upon its current academic representation, particularly in relation to gender, ethnic origin, sexual orientation and disabled people. One way to achieve this objective is in the key area 1

2 of recruitment and selection, and, specifically, to ensure that we seek a diverse range of potential applicants for posts and in how we handle our shortlisting and interview processes. It is also essential that recruiters are aware of the potential effects of unconscious bias and stereotyping when they are involved in attracting and appointing new staff to the College and the College offers training in both unconscious bias and recruitment and selection. With this in mind, the following procedure explains the process and details examples of good practice intended to open up opportunities to a wider pool of potential recruits and to ensure the process runs efficiently. Active Recruitment To attract an excellent and diverse range of applicants, departments should think beyond the standard advertising and recruiting practices to more proactive methods of engaging and recruiting staff. Departments have found the following actions successful in attracting potential excellent applicants from the widest possible pool. The College, therefore, recommends that departments consider the following as part of the process: Establish a Departmental Search Committee A Departmental Search Committee would be dedicated to identifying potential excellent candidates, including those from underrepresented groups, and building relationships, so that they feel encouraged to apply when an appropriate position becomes available. A Departmental Search Committee should consist of staff with diverse research interests, disciplines and at different stages of their career, so that a wide net is cast for each opportunity. Potential Recruitment Bank A bank of potential excellent future recruits could be established and updated regularly by academic staff members. Potential recruits might include the wide and diverse range of people met at conferences, former staff, students and collaborators. The bank can be used as a mailing list to circulate job opportunities and share departmental news to engage potential recruits. Engage and Build Relationships with Potential Recruits Departments have found it an effective recruitment strategy to establish relationships with potential candidates from a diverse pool, both within and outside of the College. This might be done by fostering collaborations with potential recruits, inviting them to departmental seminars and events, attending seminars given by them, and generally keeping in touch with them throughout their careers. Share Recruitment Opportunities Widely Information on potential recruitment opportunities should be shared widely with collaborators and research networks, with the request that the opportunity be cascaded to potential candidates. Further good practice for sharing recruitment opportunities can be found below in the Advertising Locations paragraph. 2

3 Selection Procedures Advertising, shortlisting and interviews must be conducted in line with the College s policy and practice on recruitment and selection and must adhere to good equal opportunities practice. Guidance is available from HR and regular training/updating in recruitment and selection is provided by the Learning and Development Centre. The procedure below explains the specifics of the recruitment of Non-Clinical Lecturers, Non-Clinical Senior Lecturers and Clinical Senior Lecturers. It also details examples of good practice intended to widen the pool of potential candidates. Documentation Our recruitment and selection material is the College s shop window as an employer. In addition to being as informative as possible about the vacancy, the department and the College, it is also essential that the documentation demonstrates our commitment to promoting equality and diversity and the behaviours encapsulated within Imperial Expectations, which describe our seven key principles of leadership, management and supervision. An advertisement should include: Job Title Department/Division/Faculty Salary Range Campus Brief details about the College, Department/Division/Faculty and team Main duties and responsibilities, as detailed in the job description Essential knowledge, skills and experience that will be used as shortlisting criteria. Other key points about salary, terms and conditions, including contract type and benefits Closing date Interview date where possible Name and details of a relevant person who can be contacted with informal queries about the post A statement that the College encourages applications from underrepresented groups, particularly applications from women and those from a Black, Asian and Minority Ethnic background A link to the Imperial Expectations webpage: Advertising Locations To reach a diverse pool of potential applicants, positions should be advertised as widely as possible. Advertising locations such as wisecampaign.org.uk/jobs, diversityjobs.co.uk and ethnicjobsite.co.uk are recommended for reaching a diverse pool of applicants. Circulating the advertisement is also a useful way of widening the pool of potential recruits, whether through informal or formal networks known to the department or though diversity or research specific networks such as blackbritishacademics.co.uk or researchgate.net/jobs. Publications such as Nature, New Scientist and The Guardian also publish diversity and women in science specific editions that offer a good opportunity to publicise a vacancy to a diverse audience. The appropriate HR Adviser can provide dates of such editions and further guidance on diverse advertising locations. 3

4 Each post should have Further Particulars which detail the duties and responsibilities of the post, together with a clear indication of the skills and expertise required. Please supply as much detail as possible about the functions, duties and responsibilities, together with a clear indication of the skills, qualifications and experience required. Often, departments need to be very specific about the research and teaching experience required because they have an identified gap which needs to be plugged. Where possible, however, in order to encourage applications from a wide field of candidates, departments are encouraged not to be prescriptive when they draw up the person specification, as criteria that are too narrowly defined will tend to exclude applicants. The document should include: Job description and person specification The College s equal opportunities statement (as shown in the Job Description model template) Organisation chart Accountability and reporting lines Research responsibilities Teaching responsibilities Clinical responsibilities (if applicable) Management and administrative responsibilities, including responsibility for staff and/or resources Salary and appraisal arrangements Space and equipment available Managing Open Call Recruitment Open call recruitment might be used where overall funding approval has been given but the exact number, level and subject area of posts is dependent on the calibre of applicants. This approach may be effective in attracting a wide range of applications but care should be taken to ensure good communication is maintained and candidates are not kept in the dark about the status of their application. Good practice in managing open call recruitment includes: Acknowledging applications received Prompt responses to candidates queries Sharing updates with candidates on the timescale of the recruitment process Giving reasonable notice and, where possible, flexible arrangements for the interview Communicating with unsuccessful applicants about the outcome of their application. 4

5 Appointments Committee Candidates must be interviewed by an Appointments Committee. While the role membership is prescriptive to some degree (see below), the Head of Department, or the person responsible for coordinating the recruitment, must be mindful of the College s requirement that the Appointments Committee should be as diverse as is practicable. It is expected that the Committee will comprise female membership and that every possible effort must be made to have members with varied backgrounds. Feedback from male and female interviewees has shown that diverse membership is appreciated by candidates and shows that the employer takes equality issues and the recruitment process seriously. It is expected that all, or the majority, of the internal committee members must have attended recruitment and selection training. It is also essential that committee members be aware of the potential effects of their own unconscious biases when recruiting candidates. It is recommended that members of the Appointments Committee will have attended the College s unconscious bias training in addition to the more general recruitment and selection training. Panel Pools Departments that find it difficult to draw together a diverse Appointments Committee may find it helpful to develop a panel pool. This would consist of a list of individuals (either internal or external to the department) trained in recruitment and selection and/or unconscious bias, or those with particular insight into matters of equality and diversity in recruitment, such as those who sit on the College s equality-related committees. These individuals could then be approached to form part of the Appointments Committee, or to suggest suitable members. Departments that adopt this approach should make sure that the pool is well populated and rotated frequently. Committee Membership Membership of the Committee is approved by the Head of Department/Division and should be as follows: Non Clinical Lecturers and Senior Lecturers A quorum of five from the following: A Chair, who should be the Head of Department/Division, or a senior nominee; At least three other members of the academic staff - one should be from a panel elected by and from the academic staff of the department/division, one or two may be from other departments/divisions and at least one should be non-professorial; A College Consul from the relevant Faculty; the College Consul should not be from the department/division in which the appointment is to be made - where this occurs an alternative College Consul must be sought; if the College Consul from the relevant Faculty is not available for the interview, an alternative College Consul must be sought (if no College Consuls are available, the interview should not proceed unless exceptional permission is given by HR); after each interview, a Note from the College Consul form must be signed and dated by the College Consul; At the discretion of the Head of Department/Division, other members who in his/her judgement would enhance the selection process. 5

6 Clinical Senior Lecturers Head of Imperial College Division (Chair); Head of Department; One or two other academic members of the Division (one of whom should be nonprofessorial and drawn from the list of elected panel members); College Consul; NHS Trust Representative; Royal College Representative; External Assessor. The College Consul is not involved in shortlisting. All other members of the Committee should shortlist. Unless there are special circumstances e.g. that the field of potential candidates is small, or that the majority of candidates do not meet the person specification, the expectation is that more than one candidate should be shortlisted. Notice of Interview Wherever possible, the interview date should be stated on the advertisement. If it is not possible to advertise the date in advance, every effort should be made to provide reasonable notice of the interview to candidates, with consideration given to preparation time and travel requirements. If a candidate is unable to attend on the nominated day, effort should be made to find an alternative date to suit both the candidate and the Appointments Committee. Informal Visits Heads of Department may wish to offer shortlisted candidates the opportunity to visit the College before the formal interview, and this is normally organised by the department. Heads of Departments may also wish for candidates to give a research seminar to members of the Department prior to the formal College interview. Organisation of the Interview Day The format of the interview should be organised and communicated to candidates as early as possible. Every effort should be made to ensure that candidates feel welcomed during their visit. Where interviewees are asked to give a presentation at the beginning of the interview on their current and future research and plans, this will need to be communicated in their invitation to interview. Appropriate down time for candidates to collect their thoughts before interview should also be factored in wherever possible. Departments may wish to arrange for candidates to receive a tour of the department and introductions to potential colleagues and collaborators. Consideration must also be given to any special arrangements required by individual candidates. Remote Interviewing The interview is the key opportunity to ascertain the overall suitability of a candidate for a post at the College, and for a candidate to make their own assessment about the College as 6

7 a potential employer. it is essential, therefore, that all candidates, including those based overseas, be offered the opportunity to attend the interview in person. However there will be occasions, under exceptional circumstances, where a remote interview may need to be arranged. The College has published specific guidance on the circumstances under which remote interviews may be carried out, and how they should be arranged and conducted. This guidance can be accessed here: Academic Appointment Procedures: Use of Technology in the Interview The Interview All those who have shortlisted should be present at the interview. The Committee should be provided with the following as a minimum: Timetable of proceedings/details of venue etc; Candidates CVs and completed application forms; Candidates references; The advert and Further Particulars. The Committee should make its selection by consensus if possible. If opinion is divided and a consensus cannot be reached, the Committee should record that it is unable to make an appointment and the Head of Department should then decide the next step. Information about the Department, College and Benefits The department may wish to arrange for candidates to speak to a member of the department, outside of the interview process. This conversation would allow candidates to confidentially discuss the department, College, benefits and support available to academic staff who are new to the College. Discussion around career and salary progression, and potential start-up funds is encouraged. Appointment Procedures After the Appointments Committee has agreed whom it wishes to appoint, the Head of Department/Division will arrange for the following documentation to be sent to HR: A signed College application form; A curriculum vitae and a list of publications; A Contract Request Form HR4; Membership of the Selection Committee; HR27 form signed and dated by the College Consul The name of the Academic Adviser (the Academic Adviser is usually a senior staff member from within the department/division but should not be the new lecturer s line manager or the Head of Department/Division. The Adviser can be a member of another department/division or, for Clinical Senior Lecturer appointments, from an external organisation. Academic Advisers are not compulsory for Non-Clinical Senior Lecturers); A recommendation on the length of the probationary period; Copies of qualifications and CCST certificates (Clinical Senior Lecturer appointments only); Asylum and Immigration Act documentation; Three references, which must include references from external sources. 7

8 If all of the above paperwork is not provided, there may be a delay to the start of the appointment. For Faculty of Medicine appointments, the proposed appointee s CV and the Consul s signed form should be sent to Paula Phillips, Executive Officer (Governance & Review), at the Faculty Office, to obtain approval from the Dean s Coordinating Group. This must take place prior to any offer of appointment. A contract of employment is issued which details information in relation to start date, end date (where applicable), length of probation, salary arrangements and the name of the Academic Adviser. Enclosures accompanying the contract include: Guidance Note for Non-Clinical Lecturers/Non-Clinical Senior Lecturers/Clinical Senior Lecturers on Probation A copy of the Staff Development Programme which provides details of compulsory courses and information on staff development opportunities for academic staff; Guidance Note for Academic Advisers Non-Clinical Lecturers/Non-Clinical Senior Lecturers/Clinical Senior Lecturers and Clinical Lecturers Once the contract of employment has been issued, HR will write to the Academic Adviser to confirm his/her role and will enclose the Guidance Note for Academic Advisers Non- Clinical Lecturers/Non-Clinical Senior Lecturers/Clinical Senior Lecturers and Clinical Lecturers, together with the Guidance Note for Non-Clinical Lecturers/Non-Clinical Senior Lecturers/Clinical Senior Lecturers on Probation for information. Informing the Appointments Committee about the Outcome Once a contract has been signed and returned to HR, HR will inform the Appointments Committee about the outcome. Communicating with Unsuccessful Candidates This should be done as soon as is practicable, and with sensitivity, by the most appropriate member of the panel or by HR if this is agreed. Constructive feedback is often requested and care must be taken to be helpful and respectful. Supporting Newly Appointed Staff On appointing academic staff who are new to be College, the Head of Department, or a nominee, should discuss with the appointee their personal circumstances and ascertain what support might be of benefit in helping the appointee, and their family, make a smooth transition to the College, London or the UK. Regular contact should be maintained with the appointee before their arrival at the College, especially when there is delay between the offer of the position and their start date. Through this regular contact and by inclusion in departmental events, appointees can feel involved and engaged in the work of the department and more able to hit the ground running on arrival. Probationary Period - Length and Requirements Non-Clinical Lecturer/Non-Clinical Senior Lecturer/Clinical Senior Lecturer appointments are usually probationary for three years. However Non-Clinical Senior Lecturers in the Business School and those offered appointment prior to 1 April 2014 are usually probationary for six 8

9 months, and Clinical Senior Lecturers offered appointment prior to 1 April 2014 are usually probationary for five years. Some staff whom we appoint, however, will have had previous equivalent appointments at other universities and so the Head of Department/Division should consider a shorter probation period for these more experienced staff. Irrespective of service elsewhere, a minimum probationary period of one year is normally given. The probationary period and requirements for new lecturers apply if staff are already College employees e.g. those appointed to lecturer who are College research staff. Probation is for a specified period during which the lecturer develops the appropriate teaching, research, clinical, management and administrative skills and demonstrates his or her suitability for confirmation of appointment. The probationary period enables the performance of new appointees to be monitored regularly and allows for any shortcomings to be discussed and any problems to be dealt with, at an early stage. During the probationary period, the lecturer will normally be expected to lecture, supervise, give tutorials, examine, make satisfactory progress in a research programme, carry out clinical duties, if applicable, and undertake management and administrative duties. Each new lecturer is assigned an Academic Adviser to assist with the coordination and management of probation. Applications for promotion cannot be considered in isolation from matters connected with an employee s probation or general employment. Staff who are on probation may be considered for promotion, but only where there are no current disciplinary/capability/conduct issues. If applicants are successful, and the promotion will take effect during the last year of probation, the appointment will be confirmed (subject to the individual fulfilling any compulsory criteria that are in place e.g. attendance at compulsory training and development programmes). Action by Departments/Divisions at the Start of the Appointment At the start of the appointment, the Head of Department/Division, or his/her nominee, will outline and discuss the programme for the first academic year with the new appointee. The Head of Department/Division will also write to him/her to confirm: i ii iii iv the name of the Academic Adviser if this has not been notified in the contract (HR must be informed which Academic Adviser has been selected if this has not been notified previously in the Contract Request Form HR4); the specific duties to be undertaken in the first academic year; any special arrangements for academic staff development and/or educational development in the department/division; expectations of activity and activity levels in years two and three of Non Clinical Lecturer/Non-Clinical Senior Lecturer/Clinical Senior Lecturer appointments (years two, three, four and five of Clinical Senior Lecturer appointments, where appointment was offered prior to 1 April 2014). A copy of the letter should be sent to the Academic Adviser. It is the Head of Department/Division s responsibility to ensure that the newly- appointed lecturer is provided with a thorough introduction to the work and structure of his/her department/division and the group, and an induction checklist is included with the contract to assist this. Health and safety information must also be included and some specialist courses are compulsory. To supplement departmental/divisional induction, courses to introduce new staff to the College are offered by the Learning and Development Centre. 9

10 Staff Development and Appraisal Newly appointed lecturers must be encouraged, and given the fullest opportunity, to develop appropriate and relevant skills. Probationary lecturers have to undertake professional development for their role as teachers, research supervisors, and clinicians. All new lecturer appointees must complete their Faculty s learning and teaching development programme as a minimum pre-requisite for successfully passing the Training and Development Review Period. The programme must be completed within the Training and Development Review Period. In addition to the courses on learning and teaching, certain management and equalityrelated courses are also compulsory and lecturers will be advised of these. The College also offers a range of staff development opportunities designed to assist the new lecturer. These include courses to develop personal skills e.g. securing and managing research contracts, facing the media, time management. Information about staff development opportunities is available from the member of staff responsible for staff development in each department/division as well as from the Learning and Development Centre: Safety training is of vital importance and some specialist programmes are mandatory. Details can be found at: It is College policy for lecturers to be appraised annually. The Learning and Development Centre is available to advise on any staff development issue that may arise during the appraisal. Appraisals for Clinical Senior Lecturers should be conducted jointly by the Head of Division or Head of Department, and the Clinical Lead from the NHS Trust. The Academic Adviser should provide a report prior to the appraisal, which should inform the process. The Head of Division, Clinical Lead from the NHS Trust and Clinical Senior Lecturer should agree a job plan for the coming year. The signed off job plan should be forwarded to HR. Advising and Monitoring New Lecturers - The Academic Adviser The Academic Adviser has a vital role to play during the new appointee s probationary period. In brief, the Adviser should offer guidance and advice on good teaching practice, curriculum development, the preparation of research applications, the management of research projects, the extent of clinical duties, the systems and procedures relevant to the job and managerial and administrative duties. Details are contained in the Guidance Note for Academic Advisers Non Clinical Lecturer/Non-Clinical Senior Lecturer/Clinical Senior Lecturers and Clinical Lecturers. The relationship between the Academic Adviser and the lecturer is very important. He/she should be someone with whom the lecturer can discuss any question or issue. If the lecturer considers that the relationship is unsatisfactory, he/she should discuss the matter with the Head of Group (Head of Department in particular faculties) in the first instance who, in turn, should raise the matter with the Head of Department/Division. An alternative Academic Adviser may be appointed if this is thought to be the best outcome. HR should be informed of any change. The advisory role includes attending some of the lecturer s lectures and seminars, ensuring that the compulsory courses on learning and teaching have been taken, keeping a 10

11 systematic record of progress, discussing issues with, and providing advice to, the probationer. He or she must prepare a report for the Head of Department/Division and the Head of Group (or equivalent) at the end of each term of probation. While the Academic Adviser s role is that of guide and helper, on occasion he or she may be aware of possible concerns relating to performance or conduct that are not improving in spite of advice. Should this occur, he or she should alert the Head of Group (Head of Department in particular faculties). During the Probation Period The purpose of the probationary period for newly-appointed staff is to allow them to develop and/or demonstrate the research, teaching, clinical, management and administrative skills considered essential for a member of academic staff. Before each term of the probationary period, the Head of Group (Head of Department in particular faculties) will discuss the duties expected during that term with the lecturer. The outcome of the discussion will be noted and copies given to the lecturer and Academic Adviser. Every effort must be made to provide a varied teaching, clinical, managerial and administrative workload and to give adequate time to develop research interests, teaching and clinical skills. In addition to any cost of living award which is implemented by College, and automatic annual increments which are given to those Non Clinical Lecturers who are still to reach standard pay, Heads of Department/Division may make recommendations for performancerelated increments and/or performance-related bonuses at any time during the year in line with the College s Performance Payments procedures. Clinical Senior Lecturers salaries will be assessed annually upon receipt of the signed off job plan for the coming year. Any salary threshold increase, which is due, will be actioned in accordance with the Clinical Senior Lecturer s individual salary progression on the Consultant Clinical Academic salary scale. While the emphasis during probation is on developing and supporting the new lecturer, formal performance proceedings must be instituted by the department/division if, at the Mid- Probation Review, or earlier, the lecturer s performance or conduct is not considered to be satisfactory. See Conducting Formal Performance Reviews. Assessment of Probation for Confirmation of Appointment In addition to regular meetings, which are a minimum, a more formal review must take place mid-way through the probation (Mid Probation Review) and near the end of the probation period (End of Probation Review). For a standard three-year Non Clinical Lecturer/Non-Clinical Senior Lecturer/ Clinical Senior Lecturer probation period, the Mid-Probation review should be no later than the fifth term of service. The End of Probation review should take place no later than the penultimate term. Where the individual is a Non-Clinical Senior Lecturer in the Business School or was offered appointment prior to 1 April 2014 the standard probation period is six months. In this instance, a formal meeting should be held to review progress at the mid-probation stage (three months). HR will contact the Head of Department/Division for his/her recommendation regarding probation not less than a month before the probation end date. The final review is held during the last month of probation. If the recommendation is to confirm the 11

12 appointment, the Head of Department/Division should send a brief report to HR. appointment will be confirmed in writing. The Where a Clinical Senior Lecturer was offered appointment prior to 1 April 2014 the standard probation period is five years. In this instance, the Mid-Probation review should be no later than the ninth term (36 th month) of service. The End of Probation review should take place no later than the penultimate term (56 th month) of service. Mid-Probation Review The Mid-Probation review is conducted by the Head of Department/Division in consultation with the Head of Group/Head of Department in particular faculties and the Academic Adviser. In addition, a clinical representative would be required for Clinical Senior Lecturer probations. A suggested prompt for discussion is shown as Appendix G. The discussion and outcome must be free of any bias, e.g. in relation to ethnic origin, gender, disability, religion, sexual orientation, contract type, age etc. The lecturer will normally be invited to attend part of the meeting before the panel considers its views. The Head of Division should send a written report to the probationer, Head of Department, Academic Adviser, clinical representative, if applicable, and HR. If the Mid-Probation Review Panel identifies performance or conduct issues which raise concerns about the appointment, action should be taken as outlined in Conducting Formal Performance Reviews. Conducting Formal Performance Reviews Formal performance reviews may be required if it is identified, either at the Mid-Probation review, or earlier during regular meetings, that there are difficulties with a lecturer s performance or conduct which, if unchanged, may result in extension of probation or nonconfirmation of appointment. The lecturer will be given no less than five working days notice of a performance review meeting. The meeting will be held with the Head of Department/Division and Head of Group (Head of Department in particular faculties) and a clinical representative, if necessary. The lecturer must be offered the opportunity to be accompanied by a Trades Union representative or colleague at any formal performance review meeting. A member of HR will also be in attendance. The purpose of the performance review meeting is to identify the areas of concern with the lecturer s performance which could result, ultimately, in non-confirmation of appointment. The Head of Department/Division should confirm the standards of performance required and identify the perceived shortfalls. The discussion should focus on any obstacles that might be preventing the lecturer from completing his/her responsibilities in full. There should also be a discussion of any additional training or support that might be of assistance in meeting the required standards. At the end of the meeting, the lecturer should be clear what assistance is available to help him/her meet the job requirements. Confirmation of the discussion in the meeting will be written up by HR and distributed to all parties. If the Head of Department/Division considers that that a formal written warning is required, he/she must inform the lecturer that a formal written warning will be issued. The letter will 12

13 inform the lecturer that the likely consequence of failure to improve may be non-confirmation of employment. HR will prepare the letter and outline the right of appeal against a written warning - see Appeals. It is expected that the lecturer will have received at least one formal performance review warning before consideration is given to non-confirmation of appointment. In the event of serious or gross misconduct, termination of employment may be considered without the need for prior warning. In this situation the meeting will be conducted in accordance with the College s Disciplinary Procedures. End of Probation Review HR notifies the Head of Department/Division when the end of the probation review is due. For the standard three-year Non Clinical Lecturer/Non-Clinical Senior Lecturer/Clinical Senior Lecturer probation, or five-year probation for Clinical Senior Lecturers offered appointment prior to 1 April 2014, this will be in the penultimate term. In exceptional circumstances, the end of probation review meeting may take place earlier if concerns about poor performance or conduct have already resulted in the issue of a warning under the formal performance review process. The end of probation review is conducted by a Review Panel as follows (with a quorum of four): The Head of Department/Division or senior nominee The Head of Group (Head of Department in particular faculties) The Academic Adviser One representative from the panel elected by and from the academic staff of the department/division An external expert selected in relation to the need to assess clinical activities (Clinical Senior Lecturers only); At the discretion of the Head of Department/Division, other members who in his/her judgement would enhance the review process. The end of probation review must also be conducted if the probationer is on a fixed- term contract. The Panel s purpose is to review the probationary lecturer s activities and performance in teaching, research, management and administration and to assess whether the appointment should be confirmed (n.b. if the post is fixed-term, any confirmation of appointment will be in line with the duration of the contract/work permit). Appendix G may provide a useful prompt. The lecturer will prepare and give the following information to the Head of Department/Division: A copy of his/her curriculum vitae; An outline of any significant achievements during probation; Details of the following that have been undertaken during probation: - Teaching activities (including courses given, changes/innovations made, contact hours and examining experience); - Research activities (including any research grants/contracts secured, research workers and/or students supervised); - A list of research publications indicating which have been published since appointment; - Clinical activities; 13

14 - Other Divisional duties; - Courses attended. For Clinical Senior Lecturer probation reviews, the clinical external expert will prepare for the Head of Division a report that assesses the Clinical Senior Lecturer s performance in undertaking their clinical responsibilities. The Head of Department/Division, in consultation with the Head of Group (Head of Department in particular faculties), will prepare a report for the Review Panel that assesses the lecturer s performance and overall contribution, and recommends whether the appointment should be confirmed. The Review Panel will meet to consider the Head of Department/Division s, clinical external expert, if applicable, and lecturer s reports. As well as assessing performance, the Review Panel should satisfy itself that the lecturer has been given appropriate guidance and the opportunity to achieve satisfactory performance. The Panel may decide to interview the lecturer as part of the review process and will inform him/her if this is intended. The review and recommendation must be free of any bias e.g. in relation to ethnic origin, gender, disability, religion, sexual orientation, contract type, age, etc. Recommendation for Confirmation of Employment After the Review Panel has met, the Head of Department/Division should arrange for the following information to be sent to HR: i ii iii iv v vi the names and positions held by the Panel; a statement in support of the Review Panel s recommendation; details, and the Review Panel s assessment, of: Teaching activities (including courses given, changes/innovations made, contact hours and examining experience); Research activities (including details of any grants/contracts secured and any students or research workers supervised); Clinical activities (if applicable); Any administrative/management or other significant duties, such as contributions to the department/division or College generally; a full curriculum vitae and a list of publications indicating which have been published since appointment; confirmation of completion of the Faculty s learning and teaching development programme and any compulsory management and equality-related courses; a copy of Student Evaluation Questionnaires (SOLE) for the last two years of probation. If confirmation of the appointment is approved, HR will issue a confirmation of probation letter. Recommendation for Extension of Probation or Non-Confirmation of Appointment In the event that the Review Panel considers either extending, or not confirming the appointment, HR must be contacted. HR will write to the member of staff. The letter will include a copy of all the correspondence before the Panel and the lecturer will be invited to an interview to present his/her case in person to the Review Panel. The lecturer will have not less than five days notice of an end of probation review interview and will also be given the opportunity to be accompanied by a Trades Union representative or colleague. 14

15 Any interview that may result in extension of probation, or non-confirmation of appointment, will be conducted in accordance with the statutory rights under the Employment Act A member of HR will be in attendance. At the end of the interview the Review Panel may decide to: Confirm the appointment; Extend the probation for up to one year to allow time for improvement in performance; Not confirm the appointment. In the event of extension or non-confirmation, the HR representative will prepare the appropriate written documentation with reasons for the decision, the contractual notice and/or payment in lieu arrangements (for non-confirmation) and notification of the right of appeal. Appeals In the notification of a formal written warning, extension of probation or non -confirmation of appointment, the lecturer will be informed of the name of the person to whom an appeal should be addressed and the time-scale for doing so. If the lecturer wishes to appeal, he/she must set out the grounds of his/her appeal in writing. Appeals are conducted in accordance with the Employment Rights Act Not less than five days notice of an appeal date will be given and the member of staff has the opportunity to be accompanied by a Trades Union representative or colleague. Appeals against a written warning and/or extension of probation will be heard by the Faculty Dean (or senior nominee e.g. Vice Dean) with a senior member of HR not previously involved in the case. Appeals against non-confirmation of appointment will be heard by a College Panel comprising the Faculty Dean (or senior nominee e.g. Vice Dean) with two senior members of College, one of which may be a senior clinical academic where the panel is considering the non-confirmation of a Clinical Senior Lecturer appointment. The College Panel should be as diverse as possible. A senior member of HR not previously involved in the case will be in attendance. Appeals must be free of any bias e.g. in relation to ethnic origin, gender, disability, religion, sexual orientation, contract type, age etc. and are conducted in accordance with the following terms of reference: To review whether the sanction was adequately substantiated to warrant the action; To review whether the College s procedures were correctly and fairly implemented. The lecturer will be informed in writing of the Appeal Panel s decision, and the reasons for its decision, as soon as possible after the meeting. The College regards the appeal decision as final. 15

16 Clinical Lecturers Clinical Lecturer appointments are not recognised as academic career posts. The appointment will usually be for a fixed term in recognition of the training nature and funding of a Clinical Lecturer post. Clinical Lecturers are appointed to the Clinical Academic salary scale. Approval Procedures College approval for recruitment to a post of Clinical Lecturer should be made using the HR3a form. This should be forwarded to the Faculty HR Manager for approval. If the post is to count towards the post-holder s specialist training, the Postgraduate Dean should approve the job description. The Specialist Manager at the Deanery will also wish to see the advert before it is placed as there is an approved form of wording regarding the National Training Number (NTN). You will also need to liaise with the Speciality Manager regarding a representative to join the Committee. Selection and Appointment Procedures The procedures which should be followed are the same as those for Clinical Senior Lecturers except that the Selection Committee membership should be as follows: Head of Imperial College Division (Chair); Head of Department; NHS Trust Representative; Postgraduate Deanery Representative (if the post requires a National Training Number (NTN) and will count towards the post-holder s specialist training). Probationary Period - Length and Requirements The requirements of the probationary period are the same as those for Clinical Senior Lecturers but a Clinical Lecturer is appointed on one year s probation. Induction, Staff Development and Appraisal On appointment, it is the Head of Division s responsibility to ensure a thorough induction, complemented by the College s introduction to new staff where appropriate. The paragraphs above on staff development apply to Clinical Lecturers. Clinical Lecturers are appraised annually. The appraisal should be conducted jointly by the Head of Division, in consultation with the Head of Department and Academic Adviser, and an appropriate NHS Trust representative or Postgraduate Deanery representative (if the post requires a National Training Number (NTN) and will count towards the post-holder s specialist training). The Head of Division should forward a written report to the Clinical Lecturer, joint appraisees and HR. 16

17 Advising and Monitoring New Clinical Lecturers - The Academic Adviser The paragraphs above on the role of the Academic Adviser apply to Clinical Lecturers. During the Probation Period Regular meetings should be held by the Head of Department during the probation period. At the mid-probation stage a formal meeting attended by the Head of Division, in consultation with the Head of Department and Academic Adviser, and an appropriate NHS Trust or Postgraduate Deanery representative should be held to review progress. The Head of Division should send a written report to the probationer, all panel members and HR HR will contact the Head of Division for his/her recommendation regarding the outcome of probation not less than one month before the probation end date. The final review should be held during the last month of probation and should be attended by the Clinical Lecturer, the Head of Division, in consultation with the Head of Department and Academic Adviser, and an appropriate NHS Trust or Postgraduate Deanery representative to review progress. If the recommendation is to confirm the appointment, the Head of Division should send a written report to the probationer, all review panel members and HR. The appointment will then be confirmed in writing. In addition to any cost of living award which is implemented by College, automatic annual increments are given to those staff who are still to reach the top of the standard salary range on the Clinical Academic salary scale. Any performance or conduct issues during probation should be discussed with HR. Any formal performance review meeting must be held in accordance with paragraphs above outlining Conducting Formal Performance Reviews. Recommendation for Extension of Probation or Non Confirmation of Appointment The paragraphs above on the extension of probation or non-confirmation of appointment apply to Clinical Lecturers except that an extension of probation would normally be for a minimum of three months. Appeals The paragraphs above on appeals apply to Clinical Lecturers. 17

18 APPENDIX A APPOINTMENT AND PROBATION REVIEW FLOW CHART Approval Process Selection Process Academic Adviser Identified Appointment Process Induction Initial Training Requirements Identified Identification of First Year Duties and Future Expectations Regular Meetings with Head of Group/Department (or equivalent) Termly Discussion and Note of Expected Duties Regular Meetings with Academic Adviser End of Term Reports from the Academic Adviser to Head of Group and Head of Department/Division Annual Appraisal Mid Probation Review Formal Performance Reviews End of Probation Review Recommendation of Extension/Non- Confirmation Confirmation Interview Extension or Non-Confirmation Appeal Confirmation or Non-Confirmation 18

19 APPENDIX B GUIDANCE NOTE FOR ACADEMIC ADVISERS NON-CLINICAL LECTURERS AND SENIOR LECTURERS Introduction In conjunction with the new lecturer s Head of Group (Head of Department in particular faculties), as an Academic Adviser, you have a very important part to play during the lecturer s probation. You will be an adviser, a friendly ear and help to oversee progress. In brief, your role is to offer guidance and advice on good teaching practice, curriculum development, the preparation of research applications, the management of research projects and provide information on systems and procedures about which the new lecturer needs to be acquainted. An Academic Adviser is not the Head of Group or equivalent, or the Head of Department/Division, as these staff have a managerial role. An Academic Adviser can be a suitable member of staff from another department/division. A lecturer is usually given three years probation. This may be reduced on appointment if he/she has had previous experience of lecturing in higher education. There will always be a minimum of one year. Specific Duties a) To attend a regular number of lectures and seminars given by the probationer during the first two years of probation (or first year, depending on length of probation); b) To give guidance on good and innovative teaching practice and provide constructive criticism where appropriate; c) To give guidance on curriculum development and course planning; d) To give guidance on the assessment of course work and the marking of examinations; to review a sample of the probationer s marking and to give advice accordingly; e) To advise the lecturer on the preparation of research grant and contract applications and the management of grants and contracts; f) To advise on effective research student supervision; g) To advise on the most effective methods of undertaking management and administrative duties which have been given; h) To keep the lecturer informed of any systems, procedures, practices, or developments which may influence how the lecturer may perform his/her duties; 19

20 i) To liaise with the Head of Group, or equivalent, to ensure that the lecturer undertakes the Faculty s learning and teaching development programme and any compulsory management and equality-related courses. Formal Review j) To keep a systematic record of progress and to discuss this openly and frankly with the lecturer; if issues of concern are identified the Head of Group, or equivalent, should be alerted; k) To prepare a report for the Head of Group, or equivalent, and for the Head of Department/Division, at the end of each term of probation; l) To be involved with the Head of Department/Division and Head of Group, or equivalent, in the Mid-Probation Review which, if the probationary period is three years, will take place in the fifth term; m) To be part of the Review Panel which undertakes the Final Review during the penultimate term of the probation. The Review Panel will recommend to the College if the lecturer s appointment should be confirmed, whether the probationary period should be extended, or whether he/she should be dismissed. 20