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This initial service review procedure is designed to:
Managers shall ensure that new members of staff:
Support shall be provided through regular discussions between the new member of staff and his or her manager or nominee. This shall be a two-way process, giving the member of staff an opportunity to raise issues, as well as enabling the manager to evaluate progress. While every effort will be made to support members of staff in successfully completing their initial review period, action under this procedure may be taken if their performance is found to be deficient or they are judged unsuitable to be confirmed in post, for example because of misconduct, inadequate performance, lack of capability through ill-health or for some other substantial reason.
The length of the initial service review period is set out in the member of staff’s contract of employment. Where a member of staff is absent from work for a substantial proportion of his or her initial service review period, for example due to sickness absence or maternity leave, the University shall extend the initial service review period for a corresponding amount of time and shall notify the member of staff accordingly. Where a member of staff is contracted on a part-year basis, such as term-time only, the length of the initial service review period shall be calculated in relation to time worked.
Where a significant and particular element of the work falls in a specific part of the year, the probationary period may be extended to ensure this period is adequately covered and to enable the individual to demonstrate their full capability in the respect of this particular element of their role.
For staff reporting within the academic school/faculty structure, references to Appropriate Manager shall usually be construed as referring to either the Head of School or School/Faculty Manager, but may in appropriate cases refer to a head of department or head of discipline. In support process areas, references to Appropriate Manager shall usually refer to either the Divisional Head, or in larger areas, other postholders within the line management structure as appropriate.
In this procedure, unless the context indicates otherwise, references to University postholders and Appropriate Managers shall be construed to refer either to the postholder or the Appropriate Manager or to an appropriate member of staff nominated by him or her to act with full authority on his or her behalf.Throughout any proceedings taken under this procedure, the University shall seek to ensure that a high standard of confidentiality is maintained, before and after the hearing as well as in relation to the hearing itself. Care shall be taken not to undermine the position of the member of staff concerned in relation to his or her colleagues. Investigations shall be undertaken with discretion. Where necessary to ensure confidentiality, administrative support shall be provided by Personnel Services. Wherever practicable, hearings shall be held away from the member of staff’s normal place of work. None of this shall preclude information about the outcome being given to any person where this is appropriate.
A member of staff who is subject to proceedings under this ordinance has the right to attend hearings and to be represented by an adviser, friend, trade union or other representative. If the member of staff is for good reason unable to attend a formal hearing, the hearing shall be adjourned to a suitable alternative date within a reasonable time. However if there are reasonable grounds to believe that the member of staff is refusing or failing to attend a hearing without good cause, the member of staff will be informed that a further hearing is being arranged. On that further occasion the University may proceed in the absence of the member of staff, unless satisfied that there are good grounds for his or her non-attendance. Any submission concerning non-attendance made by the member of staff in writing, or by his or her representative in person or in writing, shall be considered before any decision is taken to hear the matter in his or her absence. If the hearing proceeds in the member of staff’s absence, any submission made about the substantial issues under consideration by the member of staff in writing, or by his or her representative in person or in writing, shall be considered at the hearing.
In the ordinary course of events, two formal reviews shall take place during the initial service review period, the first half way through the initial service review period and the second towards the end of the initial service review period. Personnel Services shall remind Appropriate Managers of the need for a review and shall seek a brief report. The Appropriate Manager shall then formally meet the member of staff to discuss progress. Where all aspects of performance and conduct are satisfactory, written confirmation that the member of staff has successfully completed the half way stage or the whole initial service review period shall be sent to Personnel Services and copied to the member of staff. Where the review highlights problems, the Appropriate Manager may take informal or formal action under this procedure, having first sought advice from a personnel manager.
There is a clear difference between conduct and performance. Where the problems identified under this procedure concern conduct rather than performance, the Appropriate Manager shall clearly specify whether problems relate to conduct or performance. Where problems of both conduct and performance are identified, they may be dealt with in the same meeting, but they shall be clearly distinguished and separately discussed. Where action is taken under this procedure in relation to issues of conduct, these shall be properly investigated in line with the spirit of the Conduct Procedure. Any alleged misconduct must be clearly set out and the member of staff shall be given an opportunity to respond fully to the allegations. Appropriate Managers should not take more serious action under this procedure than would have been taken against another member of staff for similar conduct under the Conduct Procedure.
Where an allegation of gross misconduct is made it shall be dealt with under the University’s Conduct Procedure.
When the performance or conduct of a member of staff during the initial review period is causing concern, the Appropriate Manager’s first step will usually be to discuss the problem with the member of staff as soon as practicable. Such discussions shall identify the nature of the problem and consider its causes and possible solutions. The Appropriate Manager shall ensure that the member of staff is aware of the standards of performance or conduct expected, outline in what respect the member of staff’s performance or conduct is failing to meet an acceptable standard and, through discussion with the member of staff, seek to identify ways of resolving the problem. Measures that may be taken include supervisory support, training, mentoring, counselling and changes to working arrangements. Where the individual considers there are issues of discrimination, consideration shall be given to providing relevant supportive mentoring, for example by offering a female member of staff an appropriate female mentor. The Appropriate Manager shall ensure that the member of staff is clear about the standards of performance and conduct expected for the future and the timescales within which this standard is to be achieved.
Where there is continuing concern after such informal discussion, the Appropriate Manager shall make a brief note of the discussion and confirm the main points in writing to the member of staff, including future expectations, timescales within which improvement is expected, and the potential consequences of a failure to improve.
Where informal discussions have not led to an improvement, or where, exceptionally, informal discussion is inappropriate, the Appropriate Manager, after consultation with a personnel manager, may consider taking formal action under Stage 1 of this procedure. Before any decision is taken to proceed with formal action under Stage 1, the Appropriate Manager shall where appropriate gather such further information as may be required, with advice from a personnel manager. The Appropriate Manager shall inform the member of staff that an investigation is taking place and shall normally interview the member of staff. Written statements may be obtained.
If the Appropriate Manager decides that it is appropriate to consider giving the member of staff a Stage 1 warning, the Appropriate Manager shall arrange a hearing. The Appropriate Manager shall inform the member of staff in writing at least seven working days in advance that there is to be a hearing. The letter shall include:
At the hearing the Appropriate Manager shall interview the member of staff, who shall be given the opportunity to respond. A personnel manager shall normally attend the hearing. The Appropriate Manager may, for good reason, request another member of staff to attend the hearing. Individuals may attend to give relevant evidence. The Appropriate Manager shall ensure that a note is taken of the hearing. The note shall normally be taken by a personnel manager. The meeting shall be conducted in a constructive manner, designed to achieve improved performance if possible, allowing opportunity for discussion of ways in which conduct or performance might be improved.
If, having considered the evidence, the Appropriate Manager is satisfied that a warning is appropriate, he or she shall inform the member of staff that a letter shall be sent within seven working days, giving a warning under the procedure and stating that the warning shall be in force for a particular period, after which it will be spent. The period of the warning may be the remainder of the initial service review period, or a shorter period, or a longer period, in which case the Appropriate Manager shall extend the initial service review period to coincide with the termination of the warning. If the case concerns only misconduct, then the Appropriate Manager may issue a warning equivalent to a Stage 1 warning under the Conduct Procedure, for a period not exceeding six calendar months, without extending the initial review period.
The Appropriate Manager shall enclose a copy of the note of the hearing, and shall set out in the letter:
Progress shall then be monitored closely and discussed at regular intervals with the member of staff, who shall be shown any report on his or her conduct or performance prepared during the period in which the warning is current.
If, having considered the evidence, the Appropriate Manager is satisfied that a warning is not appropriate, he or she shall so inform the member of staff and shall confirm this by letter within seven working days.
If the member of staff’s work remains unsatisfactory after a Stage 1 warning, or where there is reason to believe that the member of staff is unsuitable to be confirmed in post, the Appropriate Manager, after consultation with a personnel manager, may take action under Stage 2 of this procedure. Before any action is taken, the Appropriate Manager shall arrange a hearing. The Appropriate Manager shall inform the member of staff in writing at least seven working days in advance that there is to be a hearing. The letter shall include:
At the hearing the Appropriate Manager shall interview the member of staff, who shall be given the opportunity to respond. The Appropriate Manager shall arrange for a personnel manager to attend the hearing. The Appropriate Manager may, for good reason, request another member of staff to attend the hearing. Individuals may attend to give relevant evidence. The Appropriate Manager shall ensure that a note is taken of the hearing. The note shall normally be taken by a personnel manager.
If, having considered the evidence, the Appropriate Manager is satisfied that no formal action is appropriate, he or she shall so inform the member of staff and shall confirm this by letter within seven working days.
In cases of misconduct or inadequate performance, the Appropriate Manager may issue a warning, as set out under Stage 1. If the Appropriate Manager considers that further time is likely to enable the member of staff to reach the required level of improvement, the Appropriate Manager may decide to extend the member of staff’s initial service review period and set a further date for review. If the case concerns only misconduct, then the Appropriate Manager may confirm the member of staff in post, but issue a warning equivalent to a Stage 2 warning under the Conduct Procedure for a period not exceeding two years.
Alternatively, if the Appropriate Manager concludes that an extension of the initial service review period would not bring about the necessary improvement, he or she may take steps to dismiss the member of staff. In other cases where the Appropriate Manager is of the view that the member of staff is unsuitable to be confirmed in post, he or she may decide that the member of staff should be dismissed and instruct the Personnel and Staff Development Director to take appropriate action.
Within seven working days of the hearing the Appropriate Manager shall send the member of staff a copy of the note of the hearing together with a letter confirming the finding, the basis for that finding, the action taken, and the right of appeal.
A member of staff who is the subject of a complaint of misconduct or against whom a criminal charge is pending or who is the subject of police investigation, may be suspended on full pay by the Vice-Chancellor, pending disciplinary hearing or criminal trial. Suspension shall be employed where necessary to protect a member or members of the University community, or the property of the University or the property of a member or members of the University community, or to facilitate an investigation. Written reasons for the decision shall be recorded and made available to the member of staff. A member of staff who is suspended is prohibited from entering University premises and from participating in University activities. Subject to agreement with the member of staff, partial suspension may be employed, allowing the member of staff to engage in some of his or her normal duties.
Wherever possible, when suspension of a member of staff is being considered, the member of staff will be interviewed and invited to make representations before any suspension order is made. He or she will be entitled to be accompanied at any such interview by an adviser, friend, trade union or other representative. A member of staff who has been suspended may make representations to the Vice-Chancellor concerning the suspension as soon as is reasonably practicable. The representations may be made in person or in writing, as the member of staff chooses, and may be put forward by the member of staff or his or her adviser, friend, trade union or other representative. A decision to suspend a member of staff shall be subject to review at the request of the member of staff after four weeks. Such a review shall not involve a hearing, but the member of staff, either personally or through an adviser, friend, trade union or other representative, shall be entitled to make written representations. The review shall be conducted by the Vice-Chancellor. In addition to the initial review, the Vice-Chancellor shall review the suspension on receipt of evidence of altered circumstances which affect the original decision.
Where the Vice-Chancellor appoints a nominee, the same person may deal with the original suspension and any subsequent representations.
When formal proceedings under this procedure are contemplated against an accredited representative of a trade union recognised by the University, the Personnel and Staff Development Director shall inform the Branch Chair, Secretary or full-time official of the Union of the circumstances before the hearing.
Where members of staff are involved in teaching or research, whether or not they are covered by Statute 32, the University shall safeguard their freedom within the law to question and test received wisdom and to put forward new ideas and controversial or unpopular opinions, without suffering any detriment.
Members of staff transferring to another post within the University while subject to initial service review will continue the initial service review period in the new post. Where an initial service review has been successfully completed individuals will not be subject to another initial service review on transferring to an alternative role in the University.
All appeals must be made in writing to the University Secretary within twenty working days of the date when the letter confirming the decision appealed against was sent. The appeal letter shall set out clearly the general grounds on which the appeal is based. A member of staff shall not normally be permitted to raise grounds at the appeal hearing if these were not raised in the original written appeal submission. An appeal may be made under this procedure after a member of staff has left the University following dismissal, however appeal proceedings may be suspended pending the outcome of an employment tribunal application.
Appeals under this procedure against warnings or extension of the initial service review period shall be heard by the Dean of Faculty or Registrar, unless the original decision was taken by the Dean or Registrar, in which case the appeal shall be heard by a Pro Vice-Chancellor. Where the original decision was taken by a Pro Vice-Chancellor or the Vice-Chancellor, the appeal shall be heard by a senior member of staff appointed by the Vice-Chancellor. The decision shall be final. The person hearing the appeal shall be advised by the Personnel and Staff Development Director. The member of staff may present his or her case in person or in writing, and may be represented by an adviser, friend, trade union or other representative. There shall be no entitlement to a rehearing of the case. Grounds for appeal include:
In the first case, the person hearing the appeal may remit the matter back for reconsideration. In the second and third cases, the person hearing the appeal shall overturn the original decision if he or she considers it just to do so.
Appeals against dismissal shall take the form of a review. There shall be no entitlement to a rehearing of the case and witnesses may be called only with the appeal Committee’s permission. Grounds for appeal include:
Council shall appoint a committee of three to consider the appeal, none of whom shall have had any prior involvement in the case. The committee shall include a lay member of Council as Chair, and, in the case of members of staff to whom Statute 32 applies, shall also include a member of the academic staff appointed by Senate. Where the appeal is made by a member of the clinical academic staff, who is required to engage in clinical work or activities and for that purpose to be registered with the General Medical or Dental Council or similar body and/or to have an honorary or substantive contract or status with a National Health Service trust or similar body, then the committee may include, in addition to its other members, an appropriate medically qualified representative of the National Health Service, appointed by the Chief Executive of the Avon, Gloucestershire and Wiltshire Strategic Area Health Authority or successor body.
The University Secretary shall act as secretary to the appeal committee. The procedure shall be determined by the committee1. The member of staff may present the appeal in person, attend hearings and be represented by an adviser, friend, trade union or other representative. The University may be represented by a member of staff or lawyer. The committee may adjourn hearings, set time limits for stages of the proceedings, correct accidental errors and dismiss an appeal if there are undue delays in taking the matter forward. Every effort will be made to deal with the matter expeditiously. The committee shall give a reasoned decision in writing, which shall be sent to the member of staff and to Council. Any dismissal under this procedure shall remain in force pending the outcome of an appeal. If the decision to dismiss is overturned, continuity of employment shall be restored.
1 Guidelines on procedure shall be issued from time to time.
Approved by Council 2 July 2010
Updated 16 September 2010 by Human Resources
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