Probation at ECU Academic and General Staff Guidelines for Managers/Supervisors Your role and responsibility is to lead the process and to ensure on behalf of the University that the new employee meets the requirements and performance expectations of this role. Setting clear probationary objectives ensures that a new employee knows what is expected of them, and how to meet these expectations. For continuing and long term contract staff these objectives will guide their development during their probationary period and lead into future My Work Plan s for the Management for Performance System (MPS) cycle which occurs at the University on an annual basis. Probationary objectives are expected to be set within the first three weeks of the employee commencing work. The following are recommended steps in creating suitable probationary objectives. It is important to ensure this process is in place for a new employee as it guides their first steps into the Performance Management process at the University, MPS, which is the final step in the Onboarding process. Onboarding Recruitment and Appointment Orientation Online and Local Induction Probation Performance Probation has been developed in such a way that it is consistent and in keeping with the MPS process. This includes: 1. Setting of objectives Clarification of role and setting realistic expectations within the probationary period. It may also include the identification of appropriate capability development (training identified during the hiring process). 2. Review of objectives This includes regular and ongoing dialogue between supervisor and new employee in refining and tracking progress of set objectives during the probationary period. 3. Assessment of Performance Prior to the end of the probationary period, the supervisor should provide constructive feedback to the new employee regarding their performance and achievement of the objectives that have been set. Probationary objectives will form part of the new employee s MPS My Work Plan moving forward. Note for new Academic Staff: Academic staff probationary objectives should be set in accordance with the Academic Staff Performance Expectations and Outcomes (ASPEO) Framework and the Edith Cowan University Academic and Professional Staff Union Collective Agreement 2013. The ASPEO Framework assists in defining the role and performance expectations of academic staff by level. This framework guides an individual academic staff member in planning the balance and emphasis of their work within the context of their professional and career development aligned with ECU s expectations. http://intranet.ecu.edu.au/staff/centres/human-resources-service/overview
Please refer to the ASPEO Framework and the Edith Cowan University Academic and Professional Staff Union Collective Agreement 2013 (which contains the Position Classification Standards), when setting academic probationary objectives, and ensure that objectives reflect the academic level and skill set for their academic role. Timeframe PRIOR TO THE OFFER OF EMPLOYMENT Action Decide if the standard probationary period is the appropriate length for the new starter and the position. 1. Once you have completed the selection process you need to decide whether the standard probationary period (3 months for professional staff levels 1-5, 6 months for professional staff levels 6-9, 1 year for professional staff level 10, 3 years for academic staff and 1/3 of the contract for fixed-term staff) is reasonable for the employee. Factors to include in your decision are: Their experience and skills; and Past employment with ECU 2. If the standard probationary period is not suitable, contact the relevant delegate who has the authority under the HR Delegations (normally the Head of your Faculty/Centre) for approval to alter the probationary period, outlining the reasons why. 3. Clearly indicate the probationary period in your selection report which will be given to the HR Client Services Team, HRSC, to include in the employment contract. Ensure the report has been endorsed by the HRSC. Communicate to the new employee what the probationary period is. 1. This can be done during the selection process or after the decision to appoint is made. You should inform the new employee of any specific probationary requirements at this time. 2. The probationary period will be confirmed in a Contract of Employment. Ensure all relevant forms/documentation are completed accurately. 1. It is important to ensure the probationary period is allocated correctly, as information will be entered into the Alesco system, based on details provided in the Contract of Employment. 2. This then triggers the appropriate email notifications for both the supervisor and new employee during the probationary period. 2
Note: Any incomplete forms will be returned which will cause further delays. Notify your New employee of the Onboarding process which includes Corporate Orientation, Online Staff Induction and Local Induction. 1. To help the staff member socialise you should direct them to the Online Staff Induction website. This induction has everything they need to know to get started and be familiar with our service centres, schools and faculties; facilities and services; campus grounds; and networking events with other new employees. They will also understand our key priorities for the University and how their role fits into our goals for the future. 1. SETTING OF OBJECTIVES EMAIL REMINDER: All Staff KEY ACTIONS: Conduct first probationary meeting. Set probationary objectives and expectations. Email Notifications (see Table 1 at the end of this document) 1. Both supervisor and new employee will receive email notifications to prompt setting up: The first probationary meeting; Review meetings/discussions; and The formal assessment meeting when approaching the end of the probation period. You are expected to manage and conduct continuous conversation with your new employee over the course of the probationary period, discussing progress against the probationary objectives and ensuring they have every opportunity to successfully achieve them. Explain the role including key outcomes/outputs and where the position sits within the immediate and broader organisation. 1. Provide an outline of what is required of the role, where the new employee is required to focus their work efforts on and how their role fits into other parts of the Faculty/Centre and University. 2. Together you will set objectives at the commencement of the probationary period and capture information in the Probationary My Work Plan template so that progress can be monitored during the probation period. Both the position description (for professional staff) and the ASPEO framework (for academic staff) will provide a guide from which to develop a set of expectations between you and your employee. 3
Information you should also discuss include: The purpose of the probationary period, the process and duration; What employees can expect from you as their Supervisor; Setting of dates for informal meetings for the duration of the probation to review performance; Setting of review meetings and final formal assessment; Addressing of capabilities and professional development coming out of the hiring process; Potential outcomes of probation (confirmation of appointment, extension of probation and termination of employment). Provide your new employee with relevant documentation. A good source of information is the Edith Cowan University Academic and Professional Staff Union Collective Agreement 2013. 2. REVIEW OF OBJECTIVES EMAIL REMINDER: Professional HEW 10 (ONLY): Month 5 Academic Staff: One month prior to the end of Year 1 and 2. KEY ACTIONS: Conduct mid way probationary meeting. Measure progress against objectives. Revise Probationary My Work Plan (where necessary). Ongoing Review of performance. 1. Reviews throughout the probationary period are expected, particularly for longer probationary periods. Whilst this does not need to be a large exercise, you are encouraged to acknowledge what is going well and identify any areas the new employee could improve upon and to continue to support them towards achieving their probationary objectives. 2. Conversation will include a review of the initial discussion about the role and its direction in these meetings. The aim of an ongoing review is to: General Staff Provide the new employee with ongoing and constructive feedback that can assist you in making a recommendation about whether the appointment should be confirmed at the end of the probationary period; Provide the new employee with the opportunity to give constructive feedback to you in how you are supporting them in achieving work outcomes; Discuss any issues the new employee may be having in achieving their objectives; and Identifying any required training/capability development. HEW 10 staff will have a formal midway probationary meeting typically around the sixth month. At this stage, you as the supervisor may recommend in advance to your Line Executive that the new employee be confirmed (accelerated probation) prior to the original probation date, provided documentation to support the decision is presented. 4
Academic Staff During the three year probationary period, academics require formal reviews in line with the MPS cycle. At this stage, you as the supervisor may recommend in advance to your Line Executive that the employee be confirmed (accelerated probation) prior to the original probation date, provided documentation to support the decision is presented. Note: If a termination or extension is being considered, the HR Account Manager for the related area should be contacted immediately. 3. ASSESSMENT OF PERFORMANCE EMAIL REMINDER: Professional Staff: HEW 1-5: Week 6 HEW 6-9: Month 4 HEW 10: Month 10 Academic Staff: End of Year 2 and 3 Months. KEY ACTIONS: Conduct final probationary meeting. Measure progress against objectives. Supervisor completes the Probation Outcome Form. Form submitted to the relevant Line Executive for approval Forward form to Shared Services. Recommendation and Outcome - Making a decision about whether the appointment will be confirmed, terminated or probation extended. According to the Collective Agreement, you must conduct the final review meeting at least one (1) month prior to the end of the probation for general staff and six (6) months prior to the end of probation for academic staff, especially if you have concerns about the new employee's performance. 1. You will need to make a recommendation if the appointment will be confirmed, probationary period extended or terminated. Your recommendation will be reflected in the Probation Outcome Form and processed following the relevant approvals (refer to HR delegations). Note: You cannot extend the probationary period because you have not "got around to conducting a review" or because you "are not sure". You must provide sufficient grounds for extending the probationary period. Ensure you utilise the email notifications as a guide for probationary discussions prior to the end of probation. 2. Obtain approval of your recommendation from your Line Executive (refer to the HR Delegations). In doing so, you need to allow enough time for the new employee to be notified before the last day of their probationary period ends. Note: Termination or extension of probation requires HR endorsement. Contact your HR Account Manager for appropriate advice and next steps. Notify the employee of your recommendation. 1. You will need to inform your new employee of your recommendation. If necessary, this may include providing them with appropriate notice to terminate the employment. You should communicate your recommendation to your new employee directly (face-to-face) and follow up with a formal written communication. 2. Once the decision has been made and the Probation Outcome Form has been endorsed by relevant approvals, the form is to be forwarded to Payroll. The relevant Payroll Officer will then update the Alesco system to confirm the 5
New employee receives a Probation Outcome Letter. appointment or to ensure that the process is put in place to terminate the employment. If the appointment is going to be terminated, first contact your HR Account Manager for advice prior to the end of the probation period. Note: Any notice must be given to the staff member prior to the end of the probationary period. One day after the probationary period is too late as they will automatically be confirmed. Summary Table of Actions Not Confirmed 1. After consultation with the relevant HR Account Manager, the Supervisor outlines to the new employee areas where probationary objectives have not been met, providing supporting evidence. (Refer to the Edith Cowan University Academic and Professional Staff Union Collective Agreement 2013 for timeframes). 2. Endorsement is required from the Director, HRSC and the Line Executive. Supervisor will provide formal written notification to the employee to inform them of the termination or extension of probation. Confirmed 1. Verbally notify employee of recommendation, providing feedback on achievement of probationary objectives. 2. Supervisor to complete and endorse the Probationary Outcome Form and Probation Outcome Letter. Forwards to Line Executive for sign off and endorsement. Supervisor forwards to Payroll. Supervisor forwards formal documentation to Payroll. 3. Payroll ensures a copy of the documentation is placed on the employee s personnel file. 3. Supervisor sends to the new employee the Probation Outcome Letter to notify of successful completion of probation. 4. Payroll ensures a copy of the Probation Outcome Letter is placed on the employee s personnel file. 6
5. Supervisor to commence Performance Management with confirmed employee (Management for Performance). Areas of improvement discussed during probation can be included in the MPS My Work Plan. FURTHER INFORMATION OR ADVICE For further information or advice it is recommended that you contact your HR Account Manager, who will be able to assist you in undertaking the process effectively. Figure 1: Email Notification Workflow PROFESSIONAL STAFF HEW 1-5 3 MONTHS PROBATION - EMAIL REMINDERS Week 6 Confirmation/Extension of Probation or Termination PROFESSIONAL STAFF HEW 6-9 6 MONTHS End of Month 4 Confirmation/Extension of Probation or Termination PROFESSIONAL L STAFF HEW 10 12 MONTHS End of Month 5 Mid Probation Reminder End of Month 10 Confirmation/Extension of Probation or Termination ACADEMIC STAFF 3 YEARS End of Month 11 Mid Probation Reminder Month prior to the end of Year 2 Mid Probation Reminder 2 Months prior to 2.5 Years Confirmation/Extension of Probation or Termination 7