Probationary review procedures

Who carries out the reviews and when?

Normally it should be the Head of Department to whom the Administrator is responsible who together with the appropriate Divisional Secretary will conduct the review meetings on a confidential basis.

The timing of formal probationary review meetings may vary to suit departmental requirements but it is envisaged that it would consist of an initial review after the Administrator has been in post for approximately three months followed by a review halfway through the probationary period and a final review completed no later than three months before the end of the probationary period. More frequent reviews should be considered if either party considers that the probation is not proceeding as well as planned. Inevitably there will be other regular meetings and other interaction either one-to-one or involving other members of staff that will allow the Head of Department to informally monitor probationary progress.

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Preparing for the probationary review

The Head of Department

The Head of Department should arrange the time and venue for the meeting and ensure the Administrator is provided with the Review Preparation Form (form A). The Administrator should be given adequate time to prepare for the meeting. As a guide, the Form A should be provided at least two weeks before the meeting.

During the period prior to the meeting the Head of Department and appropriate Divisional Secretary mutually agree who should seek opinions on the Administrator's performance from the following:

  • Divisional Accountant
  • Personnel Services
  • Research Services
  • Estates Directorate
  • Safety Office
  • Any other Heads of Department or Associated Units for whom the Administrator has responsibilities

If it appears that the level of performance is significantly below that which would reasonably be expected at the particular stage of probation it will be particularly important to listen carefully to views expressed by the Administrator during the review discussion. If, after careful consideration of the views expressed, concerns remain the advice of Personnel Services should be sought. In addition, the potential for training and/or coaching to bring the Administrator up to the required standard should be investigated by contacting the DAP Officer (see contact details) who will seek assistance from the Oxford Learning Institute and other sources of training as necessary.

Upon receipt of the completed Form A (which should be returned to the Head of Department together with an up-to-date initial training Form C at least five working days prior to the meeting), he/she should carefully consider the information provided. Bearing in mind the advice concerning perceived inadequate performance above, the Head of Department should also consider the feedback he/she wishes to give regarding performance during the period under review, objectives for the following period of probation, and any other areas for discussion at the meeting. At least one hour should be allowed for the meeting.

The Administrator

The Administrator should prepare for the discussion by noting down his/her views of their performance over the past probationary period and ideas for forthcoming objectives and training and development needs. The Review Preparation Form (Form A) should be used for this purpose and should be returned to the Head of Department together with an up-to-date initial training Form C at least five full working days prior to the meeting.

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The Review meeting

The Head of Department should ensure that the following documents are available at the review meeting:

Ideally both individuals should come to the meeting feeling relaxed and at ease. This is facilitated by timely sharing of documents and awareness, through training and culture, that the purpose of the review is positive for both parties. During the meeting, the Head should use open questions to facilitate a frank and free-ranging interchange of ideas and opinions.

The principle of "no surprises" should apply to the meeting. For example, significant contemplated changes to the administrative organization or the Administrator's role should never be discussed for the first time at the review meeting, but should be dealt with separately in accordance with established departmental practice and procedures.

During the meeting the Head of Department should:

  • explain the meeting is to review the Administrator's performance in the context of ensuring effectiveness in post and that the probationary period is completed successfully
  • invite the Administrator to discuss his/her performance in terms of the core responsibilities, objectives and demands of the post
  • give constructive feedback (with examples) on progress, achievements, and performance over the past probationary period
  • discuss how far the previous objectives have been met (or at the first meeting, conduct a review of the initial objectives set during the induction discussion)
  • where obstacles have prevented the achievement of objectives, discuss what can be done to overcome these impediments
  • agree future objectives, relating these to departmental objectives and ensuring the linkage is understood
  • discuss any training and development needs related to ensuring effectiveness in the role and the successful completion of probation
  • summarise the plans or actions which are agreed
  • set a date for the next review
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After the review discussion

The Head of Department should record the main points/actions arising from the discussion using Form B as a template. This should be done soon after the meeting (ideally within one week). If, after resetting objectives and agreeing actions to overcome obstacles, it is considered likely that an extension to the period of probation may be required, this assessment must be recorded on the form. Section 7 of form B should be completed by the Administrator and used to comment on any aspect of the discussion record. The record should then be filed in the relevant departmental personnel file and a copy sent to Personnel Services for retention on the University file.

If an extended probationary period is considered possible or is required, the Divisional Secretary will ensure that the Head of Department is advised on the appropriate procedure.

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End of probation

The final review must be started at least four months before the end of probation and completed within one month, i.e. at least three months before the end of probation. This is to allow sufficient time for any action required under the exceptional circumstances outlined below.

After the final review, the Head of Department should write a probation assessment letter addressed to the Registrar, with copies to the Divisional Secretary and Director of Personnel and Administrative Services (DPAS), to accompany the Form B for the final review. The letter should contain a summary of the Administrator's performance over the whole probationary period drawn from the previous review record forms and recommend that the appointment be confirmed. Following receipt of the assessment letter and fully completed final review Form B, the Registrar will issue a letter confirming the Administrator in post.

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Exceptional Circumstances

Exceptionally, if despite the provision of specific support, training and guidance it is not possible to recommend confirmation of the appointment, the letter from the Head of Department to the Registrar must explain why confirmation is not recommended and detail the specific criteria that have not been met. The letter should then suggest the length of any extended period of probation and proposed actions to overcome the problems. In such circumstances the DPAS will discuss the situation with the Head of Department and Divisional Secretary and, if necessary, ensure a formal warning is issued in accordance with the procedure detailed in "Probationary periods - management of performance and conduct" and that an extension of probation is notified.

If, in the wholly exceptional circumstances that an extended probation would not be appropriate or after an unsuccessful extended period of probation, the Head of Department cannot recommend confirmation of the appointment the Registrar will notify the administrator accordingly, having first been satisfied the recommendation is correct from any other enquiries and advice deemed necessary. Any such notification will be subject to appeal under Statute XII, Part H as detailed in the management of performance and conduct procedure quoted above.

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Documents