• Section 1 - Purpose / Objectives
• Section 2 - Scope / Application
• Section 3 - Definitions
• Section 4 - Policy Statement
• Section 5 - Procedures
• Section 6 - Guidelines
• Probation
• Schedule of Probation Reviews
• Probation Planning and Review Process
• First Probation Review
• Subsequent Probation Reviews
• Final Probation Review
• Notification to the Staff Member of Decision
• Academic Probation Confirmation Panel (Academic Staff Only)
• Confirmation of Successful Completion of Probation Period

Section 1 - Purpose / Objectives

(1) Nil

Section 2 - Scope / Application

(2) Nil

Section 3 - Definitions

(3) Nil

Section 4 - Policy Statement

(4) These Guidelines describe how to implement the University's Probation Policy for new staff.

(5) Effective management of a new staff member's probationary period of employment together with their induction to the University is a requirement for managers and supervisors. These Guidelines aim to clarify the steps involved in effectively managing the probation planning and review process for a new staff member.

(6) Probation is managed and recorded at VU through Probation tools available on the People and Culture Intranet site. Probation is linked to the staff member's longer-term performance planning and development with the University through the SPDP framework — see Figure 1 .

(7) Note that a new staff member must be made aware of who their Supervisor is for the purposes of probationary and performance reviews.

Section 5 - Procedures

(8) Nil

Section 6 - Guidelines

Probation

What is a Probationary Period of employment?

(9) A probationary period is designed to assess the ability of a staff member to satisfy the requirements and standards of the position for which they have been recruited, and for the staff member to assess the suitability of the University as a place of employment.

When and to whom does a probationary period of employment apply?

(10) A probationary period of employment will apply to all staff members, including senior management, employed on a continuing appointment or a fixed term contract of more than 6 months who are new* to the University.

When does a probationary period of employment not apply?

(11) A probationary period will not apply when:

1. The appointment is for 6 months or less;
2. a staff member is internally seconded or transferred to another position within the University, irrespective of whether the new position is outside of the original work area;
3. a second or subsequent fixed term contract to perform the same or substantially similar role is offered;
4. an academic staff member appointed to a continuing position has occupied a previous fixed term contract at the University provided there has been no break in service in excess of six months;
5. there is a promotion, reclassification or internal appointment to an educational leadership role, e.g. Head of School, Program Manager.

(12) A probationary period will not be waived for a new staff member, however, a shorter period than the maximum specified in the Probation Policy may be offered according to the new staff member's previous experience or qualifications — refer to 4.1 below ("Determining the length of the probation period").

What are the benefits of a probationary period for the University?

(13) A probationary period enables the University to set out expected performance and behaviour standards from the commencement of employment for a new staff member. In addition, the probationary period protects the University from retaining a staff member who, although may have been selected as the person who most closely meets the position's selection criteria, in practice is unable to meet the requirements of the position. In such cases, the staff member should not be confirmed in this position.

What are the benefits of a probationary period for the staff member?

(14) A well-managed probationary period provides the new staff member with an effective induction to the University as well as a clear understanding of expected performance and behaviour standards. The probationary period also allows the staff member the opportunity to see if he/she really wants to work for the University or in the position itself. Moreover, it provides the staff member, in conjunction with their Supervisor, the opportunity to address any issues relating to performance that may act as a barrier to productive performance and the successful completion of the probationary period.

Schedule of Probation Reviews

(15) Note it is a supervisory responsibility to ensure probation reviews scheduled.

Academic Staff

General Staff

TAFE Teachers & IS Instructors

Probation Planning and Review Process

Determining the length of the Probationary Period

(16) As part of the recruitment process, the selection committee will normally recommend the length of the probationary period within the parameters set out in the Probation Policy. The recommendation is subject to approval in accordance with the People and Culture Delegations Policy. The initial maximum probationary periods will be:

(17) Shorter Probationary Periods

1. In some instances it is recommended that a new staff member has a probationary period of less than the maximum period outlined above.
2. Examples may include instances where the staff member:
   1. has been fulfilling a similar role at Victoria University, e.g. if an Academic staff member has been working in the role in a sessional or fixed term contract position for 12 months, then their probation period can be reduced by this period of time, e.g. to 2 years;
   2. has highly specialized skills related to the work area; or
   3. had previously been on secondment to Victoria University in the role in which the staff member has now been appointed.
3. Recommended probationary periods together with the factors to consider in determining the probationary period length are set out below in Fig (ii).

(18) ** Points to consider for shorter probation period of HE Academic Staff:

1. seniority level
2. completed PhD or not?
   1. Authority from institution
   2. Selection of supervisor & agreement
   3. Ethics & topic approval
   4. Commencement of research &/or literature review
   5. Writing progress according to agreed steps etc
   6. Submission, awaiting successful examiners' report
   7. Classification, awaiting conferral
3. Research & publications track record
4. Completed VU's Initial/Extended Induction Programs or received exemption from this requirement?
5. Value to VU — did we poach; influence this candidate to work here?

(19) A written justification for the length of the probationary period, if shorter than the maximum period, must be made by the Chair of the Selection Committee, and included on the Recommendation to Appoint Form.

(20) The justification may outline, for example:

1. the previous experience and training of the staff member; and/or
2. any previous employment with the University.

Probationary Period and Criteria in Contract Letter

(21) Following completion of the recruitment process the potential staff member will be provided with a letter of offer, prepared by People and Culture. This letter will contain a reference to the length of the probationary period and a statement that written probation objectives will be developed and discussed by the Supervisor using the Probation tools located on the People and Culture Intranet site, within the first two weeks of their employment with the University.

Initial Probationary Meeting and Probation Plan

(22) As part of the induction and probation process, the supervisor should meet with the new staff member at least once during the first two weeks of the appointment.

(23) Prior to this meeting, the supervisor should access the Probation tools and draft a probation plan including probation objectives for the staff member. The supervisor should then use this draft plan as a basis for the discussion at the meeting with the staff member.

(24) It is important that during this discussion the Supervisor highlights:

1. the length of the probationary period;
2. specific probation criteria which need to be met within the probationary period for their appointment to be confirmed.

(25) In line with the Probation Policy, the criteria must be:

1. specified as definable goals/objectives;
2. related to the position description for the position;
3. related to the level and time frame of the appointment of the staff member; and
4. designed to ensure that the staff member will work productively in the University.

(26) Example of Probation Objectives

(27) Additional Aspects which should be covered during this initial discussion

(28) Recording the discussion and the probation plan

1. Once the supervisor has drafted the probation plan and the plan has been discussed with the staff member, any changes that need to be made to the plan are to be made by the staff member before approval by the supervisor.
2. It is the supervisor's responsibility to hold these documents which will form the basis of regular reviews of the staff member's performance to determine if employment is confirmed at the end of the probationary period. A copy should be provided to the staff member and to People and Culture to be placed on the staff member's personal file.

(29) Importance of setting performance expectations

1. Setting the performance expectations is the most important element of the probation process. Supervisors must clearly articulate the expectations of all elements of the role, for example, for academic staff, the discussion and plan will not just focus on the teaching and research requirements, but all elements of the role including administrative duties (such as marking, unit/course preparation, interviewing of students, attendance at meetings, etc) and other duties.
2. Supervisors must also clearly articulate the way the University expects staff to conduct themselves and carry out their work by referring to the University's Values and expected behaviours.
3. The Professional Development Policy defines any relevant professional development that should be completed by staff members before probation is confirmed. In addition, any professional development, which is mandatory for the role, should be documented within the Probation Plan. This will ensure that new staff are aware of any professional development requirements relevant to their position.

First Probation Review

(30) The aim of this review is to formally review the staff member's performance to date against the probation objectives, affirm performance standards, provide feedback to the staff member (by the supervisor) and to the supervisor (by the staff member), review the effectiveness of any training which has been provided, identify any further specific training/developmental opportunities and plan future activities.

When is the review undertaken?

How is the review undertaken?

(31) The supervisor is responsible for reminding the staff member that a review discussion is due to take place. The supervisor will prepare for this discussion using the probation plan agreed at the beginning of the probationary period.

(32) The review should reflect the initial discussions and refer to other supporting documentation such as the position description and, for academic staff and teaching staff, the Induction for Teaching Policy.

What should the Supervisor do if the staff member is not performing during probation?

(33) If a staff member is not performing to the level required, the Supervisor must inform the staff member immediately of the areas of non-performance or skill gaps. The Supervisor and staff member should meet to discuss:

1. the issues regarding performance;
2. specific areas requiring improvement (i.e. discuss the performance gaps);
3. timeframes for improvements to be made;
4. any professional development opportunities that will be used to improve performance;
5. any further supervisor support that can assist in improving performance; and
6. dates when meetings to review the staff member's performance will be held.

(34) All discussions should be documented within the Probation Plan.

Importance of probationary review discussions

(35) The earlier any issues are brought to the staff member's attention the better chance they have of addressing the issue and improving their performance. Supervisors should not wait until a probationary review discussion is due to address issues in performance.

(36) With the assistance of the staff member, any obstacles should be identified which may be preventing the staff member's ability to effectively perform, develop steps for improvements, outline timeframes for improvements. A further review date should be set.

(37) It is important to be very specific about what it is that needs to be improved. Phrases like "you need to improve your overall performance" must be avoided.

(38) If there are performance issues, advice must be sought from People and Culture prior to discussing the issues with the staff member.

Subsequent Probation Reviews

(39) Subsequent probationary reviews are used to further review the staff member's performance and provide feedback to the staff member and agree on a process for making any necessary improvements (if required).

How is the review undertaken?

(40) As with the first probation review, the supervisor will remind the staff member that a review discussion is due to take place. The supervisor and staff member will prepare for this discussion using the plan and any reviews previously discussed and documented. The staff member must be given reasonable notice (a minimum of two working days) of any review meeting to give them time to prepare for the meeting.

Final Probation Review

(41) The final probation review is a formal review that results in a recommendation being made about the staff member's appointment.

When does the final Review occur?

What documentation should be used?

(42) Recommendations and approvals of probationary period outcomes must be actioned in accordance with the People and Culture Delegations Policy, for example for fixed term academic staff the Executive Dean will approve. The delegated officer, and where applicable the APCP, will have access to copies of the staff member's probation plans and reviews as documented.

(43) A draft of the Final Review should be developed using the relevant Probation tools in preparation for the final review meeting.

(44) To assist in the final review, supervisors should refer to the following documents:

1. position description;
2. VUSALs for academic staff;
3. previous probation plan and reviews;
4. the staff member's contract of employment;
5. the staff member's Academic Portfolio;
6. where appropriate, the staff member's completion of the Initial or Extended Induction Program for Teaching Staff.

(45) After the meeting with the staff member, the supervisor must complete the Final Recommendation Review and, for continuing academic staff, send a recommendation on the employee's appointment to the Chair of the APCP.

(46) Options for recommendations include:

1. confirm the staff member's appointment — if the staff member's performance is satisfactory;
2. extend the probationary period — other than for Academic continuing staff, an extension would only be recommended on the grounds of extended periods of absence by the staff member which means that the Supervisor has not been able to assess the suitability of the staff member to the position. (Note: the extension can be no greater than three months for General Staff and no greater than one year at a time for Academic Staff); *
3. not confirm the staff member's appointment *

What may result in a probationary period being extended?

(47) Circumstances that may result in a probationary period being extended are limited to (other than for academic continuing staff):

1. period(s) of leave without pay;
2. secondment;
3. other extended period of absence by the staff member where, because of the absence, a reasonable and meaningful review of performance cannot be made.

Can early termination or confirmation of the appointment be recommended?

(48) The Policy allows for a decision to confirm an appointment being made at any time earlier in the probationary period. The documentation as outlined above must be prepared accordingly using the People and Culture Probation tools.

(49) Nothing refrains the University from making a decision to terminate the staff member's employment before the end of the probationary period. However, the supervisor must contact People and Culture for assistance in such cases and prior to discussing such action with the staff member.

How is natural justice/procedural fairness applied in a probation decision?

(50) The manager/supervisor must inform the staff member about the decision that is to be made and offer them the opportunity to state their case and provide any information or evidence before the final decision is made — ie, a probationary staff member must have the right to be heard or state their case before the final decision is made. Furthermore, the manager is to act fairly and without bias in making the decision and considers any case and/or information/evidence put forward by the staff member without undue delay.

What notice periods apply for staff members who wish to resign during their probationary period?

(51) Should the staff member resign during their probationary period, the following notice periods will apply:

Notification to the Staff Member of Decision

(52) For General Staff, fixed term academic staff, TAFE teachers and ISI Instructors the staff member will be formally advised of the outcome of their probation period initially by their supervisor and subsequently confirmed at least ten working days before the end of that period. The staff member will be notified by advice will by People and Culture.

1. congratulations — confirming their employment with the University; or
2. advice in writing that their probationary period will be extended and confirming the new end of probation date; or
3. Immediate advice to the staff member of a two-week notice period of termination if the recommendation is not to confirm.

(53) For continuing Academic Staff, the supervisor should advise the staff member of their recommendation to the APCP. The staff member will then be formally advised of the APCP's decision at least ten working days before the end of their probationary period. The advice will either be:

1. notification that their employment with the University is confirmed (the staff member's details are retained for future performance plans and reviews); or
2. their probationary period has been extended and the new end of probation date is confirmed;
3. their employment is not confirmed and the staff member is given a six month notice period of termination. In this case, advice should be given verbally to the staff member and confirmed in writing by People and Culture.

Academic Probation Confirmation Panel (Academic Staff Only)

(54) As stated above, for continuing academic employees the supervisor must prepare a Final Recommendation Review to the APCP. This review will include a recommendation about the appointment and sent to the chair of the Panel. Any other documentation related to the employee's probation reviews should be sent to the APCP at the same time.

(55) An APCP will be established within each Faculty for the consideration of each case of academic probationary employment and will consist of:

1. Executive Dean or nominee (Chair)
2. A Head of School from the Faculty at or above the level of position under review and nominated by the Executive Dean (NB this should not be the Head of School of the probationary academic)
3. A Professor or Associate Professor from the School nominated by the Executive Dean
4. A member of the academic staff of another school in the Faculty at or above the position under review nominated by the Head of School

(56) A member of staff from the University's Staff Equity Unit may attend as observer and the probationary staff member may request that one other academic nominated by them attend as observer.

(57) Refer to ' Guidelines for Academic Probation Confirmation Panels' Attachment 2 .

When does the review report need to be provided?

(58) The review report must be provided to the ACPC at least five (5) working days before it is scheduled to meet to allow each member of the panel to review the documentation regarding the employee's performance during probation. Having reviewed this documentation, their role is to make a decision to:

1. confirm the appointment; or
2. extend the probationary period, except that the extent of the extension can be no greater than the maximum provided for in the Policy — i.e. for up to 2 annual extensions; or
3. not confirm the appointment of the staff member.

Review of non-confirmation decision

(59) An academic staff member who disagrees with a decision to terminate their employment during probation can seek a review of that decision only on the grounds that proper process was not followed.

(60) The staff member will be required to notify People and Culture in writing within two (2) days of receiving advice of the decision to terminate that they believe that proper process was not followed and they are seeking review of the decision.

(61) For fixed term academic staff, the review will be conducted by the most senior supervisor reporting immediately to the Vice-Chancellor prior to the expiry of the notice period, and the notice period will continue while the review is in progress. A further notice period will not be provided if the decision to terminate is confirmed.

(62) For continuing academic staff, at the staff member's election the review will be conducted by the Review and Appeals Committee, or by the relevant Deputy Vice Chancellor/Pro Vice Chancellor (for levels A - C) or the Vice Chancellor (for levels D — E).

(63) The review will be conducted prior to the expiry of the notice period, and the notice period will continue while the review is in progress. A further notice period will not be provided if the decision to terminate is confirmed. The Review and Appeals Committee, or the relevant Deputy Vice-Chancellor/Pro Vice-Chancellor (for levels A—C), as appropriate will make a report to the Vice-Chancellor and the staff member as soon as reasonably possible before the expiry of the probationary period.

(64) If the Vice-Chancellor concludes that proper process was not followed during the probationary period, the Vice-Chancellor may refer the matter back to the Academic Probation Confirmation Panel to allow proper process to be followed. Subsequently, the Vice-Chancellor may reconsider the decision to terminate and will advise the staff member in writing of her/his decision. The decision of the Vice-Chancellor will be final.

Confirmation of Successful Completion of Probation Period

(65) Upon approval by the delegated officer or the APCP of the recommendation to confirm appointment, the staff member will receive formal notification from People and Culture to this effect. This information will be passed to People and Culture for recording on the People and Culture Information System and the staff member's personnel file.

(66) The staff member will be required to prepare, discuss and agree with the supervisor an SPDP plan in line with the SPDP Policy for the period remaining of that SPDP cycle.