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Personnel Policy and Procedures Manual 6. Probation and Confirmation |
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- 6.1. Probation and Confirmation: All Staff
- 6.1.1. Overview
- 6.1.2. References
- 6.1.3. Policy
- 6.2. Confirmation Decision - Professional Staff and Academic Staff on Fixed Term Contracts
- 6.2.1. Overview
- 6.2.2. References
- 6.2.3. Procedures
- 6.2.4. Recommendation not to confirm appointment - Professional Staff and Academic Staff on Fixed Term Appointments
- 6.3. Probation and Confirmation : Academic Staff - Full time and Part Time (continuing)
- 6.3.1. Confirmation Period
- 6.3.2. Probation and Confirmation Panels
- 6.3.3. General Principles
- 6.3.4. Meetings
- 6.3.5. Termination During a Probationary Period
- 6.3.6. Extending Consideration of Confirmation
- 6.3.7. Early Consideration of Confirmation
- 6.3.8. Submissions for Confirmation
- 6.3.9. Review of Submissions by Committee
- 6.3.10. Non-confirmation
- 6.3.11. Academic staff member seeks a review of non-confirmation by the Review and Appeals Committee
(Updated: September 2009)
The purpose of the probation period is to establish whether there is an appropriate match between the person, the job, and the work environment, and whether a good working atmosphere has been established within the work group. Successful probation requires both the employee and the supervisor to be satisfied with the arrangements.
Before the end of the probation period specified in the staff member's contract, a decision must be made as to whether the staff member should continue in employment with the University. In the event that the staff member cannot meet the probation criteria, employment may be terminated.
Probation periods may apply to all staff members who are new to the University or who are employed on a second or subsequent fixed-term contract, where the type of employment and duties are substantially different, eg. a move from a professional staff position to an academic staff position.
Probation periods do not apply where the type of employment is unchanged and in cases of transfer or secondment. The employment of casual staff will not be subject to a probationary period.
The University of Melbourne Enterprise Agreement 2006
Council approval - Academic Probation and Confirmation Policy ; October 1992
Administrative Policies and Practices Group, September 2009
Successful induction and participation in the Performance Development Framework (PDF) is critical to the successful development of a career in the University. The probation period is the first step in the introduction of the PDF for new staff.
New staff members should not commence employment with the University until the probation criteria as set out in the contract of employment, have been accepted in writing. In the event that the staff member and Head of Department agree that the staff member commences prior to the probation criteria being finalised, agreed probation criteria must be determined shortly after commencement.
Criteria must be :
specified as definable goals
related to the position description for the position
related to the level and time frame of the appointment of the staff member
designed to ensure that the staff member will work productively in the University
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Fixed-term employment with the University may contain a reasonable probationary period that is directly related to the nature of the work to be carried out under the contract.
Probation periods pertaining to professional staff and academic staff on fixed-term contracts cannot be extended.
Probation periods pertaining to continuing academic staff can be extended by a maximum one (1) annual extension. Extensions of probation periods can be facilitated in two ways:
Where a staff member submits a written request for an extension to the Head of Department for consideration. Where approved, the Head will forward the staff member's request and a covering memo to Human Resources endorsing the extension.
or
Where an Academic Probation and Confirmation Panel determine that a staff member's probation period requires an extension. The decision to extend must be recorded in the minutes of the meeting and Human Resources notified.
Staff who have probation and confirmation arrangements that were made prior to the implementation of the University's 2006 Enterprise Agreement will have probation decisions made in the timeframes specified in their contracts of employment.
The role of the supervisor is critical in the induction of the new staff member. Guidance for supervisors may be found in the following :
Induction checklist http://www.hr.unimelb.edu.au/aboutus/best_practice_kits
Induction for Professional Staff : Making a great impression found at http://www.hr.unimelb.edu.au/aboutus/best_practice_kits
Supervision ; managing people the vital resource at http://www.hr.unimelb.edu.au/aboutus/best_practice_kits
The following is a summary of the requirements of a supervisor.
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(Updated: October 2008)
The Vice-Principal (Human Resources) is the Vice-Chancellor's delegated authority on matters relating to confirmation decisions.
Senior Executive Committee, October 2008
No later than four weeks before the end of the probationary period, the supervisor must discuss the probation recommendation with the staff member. If the recommendation is not to confirm, the staff member must have an opportunity to comment on the recommendation (see Section 6.2.4).
The Head of Department must complete a HR25: Confirmation of Appointment form. which when completed informs the staff member of the recommendation to:
confirm, or
recommends to the Vice-Principal (Human Resources) that the appointment be terminated.
The HR25 form and report must reach the Human Resources Division no later than 4 weeks before the end of the probation period.
Where supporting a recommendation for termination, the Dean or Head of Budget Division must consider whether the appointee:
was reasonably aware of the job requirements
had received adequate supervision and coaching for the expected standard of performance, and
whether there is an appropriate match between person, job and environment.
The Dean or Head of Budget Division must also be satisfied that the probation procedures have been followed. During this decision process, the appointee, their supervisor, and any other person considered appropriate should be consulted and their views taken into consideration.
Deans or Head of Budget Divisions should provide recommendations to terminate a professional staff member or academic staff member on a fixed-term contract, prior to the end of their probation period, to the Vice-Principal (Human Resources). The Vice-Principal (Human Resources) will approve the recommendation of the Dean or Head of Budget Division and arrange for the termination to be processed.
(Updated: June 2007)
The confirmation period for continuing academic staff members is a maximum of five year unless extended in accordance with Section 6.3.6. A recommendation by the Head of Department to confirm or not to confirm must be made 6 months before the expiry of the confirmation period. The staff member must have the opportunity to comment on the recommendation of the Head.
Confirmation with respect to appointments at levels A, B, C & D is undertaken by a Faculty Probation and Confirmation panel.
The compostion of each panel should be as follows:
A chairperson who shall be the Dean of the Faculty
At least four other members, two of whom will be external to the Faculty.
The membership of the Panel is approved by the Provost and the President ofthe Academic Board
Where necessary, the Provost and President of the Academic Board may appoint an Acting Chair
Panel Membership is not limited to staff of the University of Melbourne
Members are normally at the rank of Level D or E, unless otherwise approved by the Provost and President of the Academic Board
Panels are expected to approach gender balance
The quorum for each Faculty Panel is four
Each Panel may have an EO observer (normally from outside the Faculty)
Each Panel will be serviced by an executive officer from HR.
The proceedings of the Panels are confidential.
The Panels must meet four times each year. Human Resources notifies Heads of Departments of the names of staff members who are to be considered at each level.
The Head of the staff member's Department will attend.
The Panels may request interviews with persons to clarify issues, and the staff member may elect to appear before the Panel.
In appearing before the Panel or participating in their deliberations, a person may not introduce material which raises matters which either contradicts or introduces new matters than those included in the written documentation.
At any stage after the first annual PDF performance review discussion, the employment of the staff member may be terminated only:
on the same basis as a confirmed academic staff member; or
if his or her performance is rated unsatisfactory, through an early decision not to confirm; or
at the end of the confirmation period in accordance with Section 6.3.1 above.
The staff member and Head, or in the case of one Department/Faculty, the senior member who has responsibility for academic management, may agree to extend confirmation. This request must be made in writing from the staff member to the Head, then approved and forwarded to the HR Division. If both staff member and Head of Department agree to the extension of the initial consideration of confirmation there will be no formal consideration of the case by the Panel. An alternative date will be set which will be no later than one year from the initial date when confirmation was due.
A staff member may apply to the Head of Department to have the confirmation decision made ahead of the time specified in the contract of employment.
The Head of Department may also recommend that the confirmation decision be made ahead of the date specified in the contract of employment. Normally this would be in recognition of outstanding performance, however, in exceptional circumstances, it may be because of inadequate performance.
The same procedures apply to consideration of early confirmation as apply to confirmations handled in the standard timeframe.
The staff member must provide the Head of Department with an up-to-date curriculum vitae and a detailed report and argued case for confirmation. It is important that she or he clearly articulates how they have met all requirements and why they should be confirmed as a continuing academic staff member in the University. Please refer to the Human Resources website for more information www.hr.unimelb.edu.au
The Head of Department reviews the staff member's submission for confirmation and following consultation with senior colleagues she/he submits a report with an argued case and a recommendation for either confirmation or non-confirmation to a Probation and Confirmation Panel. This is to be done no later than six months before the expiry of the initially specified confirmation period, or no later than 4.5 years after the date of appointment (unless there has been an extension or early consideration of probation).
The staff member must see the Head's report and recommendation and have the opportunity to comment, The staff member will be required to countersign the document.
Further advice to the Head and staff member is available on the HR web site located at http://www.hr.unimelb.edu.au/development/career_development/academic_careerdevelopment/academic_confirmation.
A Head of Department makes a recommendation to confirm or not to confirm a staff member's appointment to the Probation and Confirmation Panel.
The Provost has delegated the responsibility to confirm, or extend the probation period (by up to 12 months) to the Probation and Confirmation Panel.
A recommendation by the Probation and Confirmation Panel for non-confirmation will be made to the Provost and the procedures outlined in section 6.3.10 will apply.
In the event that non-confirmation is recommended, the staff member will be:
advised of the grounds for non-confirmation;
provided a minimum of six months notice of termination of employment; or
at the discretion of the University, payment in lieu of notice or part payment and part notice.
Prior to the Provost determining the matter, the staff member may comment on the grounds for the decision. The Provost will take into account any submission of the staff member.
Within ten (10) working days of the receipt of advice of the recommendation not to confirm, the staff member may seek a review of that recommendation or decision by the Review and Appeals Committee (See Section 10.14).
The grounds for review are that:
the outcome of the Panel's deliberations was materially affected by a procedural irregularity; and
in the case of early termination for unsatisfactory performance, there is sufficient evidence to support a finding of unsatisfactory performance.
The Review and Appeals Committee will make recommendations to the Vice-Chancellor who shall determine the matter.
[? Search] [Top] [Contents]
[Prev: 5. Starting at the University or in a New Position]
[Next: 7. Employee Movements and Changes]
Created: September 1995
Last Modified: 12 October 2009
Authorised by: Web & Administrative Officer, Human Resources.
Maintained by: Jo Barnes jo.barnes@unimelb.edu.au
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