Probationary periods SOP

1 Introduction

The trust operates a probationary period of six months for all new entrants joining the organisation. This period is to ensure the trust has the right people, in the right positions doing the right jobs, supporting the patients and communities in which the trust serves.

This policy and procedure are designed to support new entrants to meet the standards required for successful completion of their probationary period in terms of performance, conduct, and attendance.

In applying this policy, there will be due regard for the need to eliminate unlawful discrimination, promote equality of opportunity, and provide for good relations between people of diverse groups, in particular on the grounds of the following characteristics protected by the Equality Act (2010); age, disability, gender, gender reassignment, marriage and civil partnership, pregnancy and maternity, race, religion or belief, and sexual orientation, in addition to offending background, trade union membership, or political affiliation.

The probationary period is to enable new entrants to be given the encouragement and support required to adapt to work within the trust. It enables supportive action to be instigated at the earliest opportunity if the required standards are not being demonstrated. It also enables a process of encouragement and support, and discussions with the new entrant regarding the reasons giving rise to these situations. By the end of the probationary period the new entrant must be able to demonstrate they have met the required standards to pass their probationary period. If the end of the probationary period has passed without a final probation review meeting, then the new entrant is deemed as automatically having passed probation.

As part of the probationary period, all new entrants are expected to be learn, and live the trust values. The trust values can be identified on the trust intranet site.

2 Purpose

We recognise that starting a new job can be challenging and are committed to ensuring that you are fully supported during your probation period. The purpose of the probationary period is to allow both the employee and the manager to assess objectively whether the employee is suitable for the role, considering an individual’s overall capability, skills, performance, attendance, and general conduct as well as offering continual support to the new employee to develop into their new role.

This document describes the approach setting out both legality and best practice guidance in support of the effective management of probationary periods within the trust.

The provision of this guidance offers a framework by which probationary periods can be fairly and consistently implemented and managed.

The probationary period within the trust will be aligned to a structured and supportive induction plan, both corporate and local (a copy of which should be placed in the new employees personnel file for reference).

3 Scope

This procedure will apply to all new entrants to the organisation including those who are engaged on fixed term contracts. Existing colleague who takes up new posts within the trust, will not be subject to a probationary period. Similarly, entrants to the trust as part of the application of the transfer of undertakings protection of employment regulations or a secondment into the trust, will also not be party to the probationary procedure.

For newly qualified practitioners engaging in a preceptorship programme or equivalent to their profession (such as ASYE for social workers, this is to be considered in conjunction with the probationary period. The main aim being to welcome and integrate newly registered practitioners into their new team and place of work.

4 Responsibilities, accountabilities and duties

4.1 Line manager

It is the line manager’s responsibility to ensure that all new recruits are appropriately inducted, monitored, and supported during their probationary period. Similarly timely feedback including the raising of any concerns should be provided promptly to ensure that the employee is aware of their progress especially if some aspect of their performance or conduct is unsatisfactory. This approach should be timely and proactive, adopting a solution focused approach.

To ensure the contract of employment is issued (ideally prior to commencement in post and no later than their first day of employment).
In line with the schedule set out in section seven to agree probationary review meeting dates with the employee when they commence their employment, to ensure these reviews are undertaken and the probationary review forms are completed (appendix A).
To create and implement an induction plan for the employee including regular supervision arrangements, with set meetings every six to eight weeks as highlighted in the trust supervision policy (a hyperlink to the policy can be located in section 10 of this document).
To establish clear objectives for the employee at the outset, and ensure training and development opportunities are identified, planned, and undertaken by the new recruit.
To ensure that copies of all related correspondence and records are retained.
To engage with occupational health should there be a requirement to do so and where necessary, carry out a workplace assessment ensuring reasonable adjustments are implemented in a timely manner. A review of the pre employment occupational health guidance should be conducted prior to the start of the employment of the new recruit to ensure any reasonable adjustments are in place as soon as practicably possible.
To seek advice from the Human Resources team should the employee not be performing to the required standard.
To be supportive, progressive, passionate, transparent, and communicative in the support of colleagues in the utilisation of this procedure.

4.2 Colleagues

To read and review this guidance creating an awareness from a trust perspective of the values, ethics, and expectations upon colleagues within this trust.
To undertake any agreed induction, training, development activities, and where necessary implement this learning into everyday practice.
To be caring and safe in their approach.
To be passionate about the work they are undertaking, working to the best of their ability.
Be empowered to raise training and development needs with the manager as early as possible.
To be open and transparent, in general practice and or where there is a protected characteristic and or there is a requirement for additional support, training, equipment, or adjustments. If this is communicated efficiently it will allow effective implementation of support.

4.3 Human Resources team

To provide guidance and advice to managers and colleagues about implementation of this procedure.
To be supportive, progressive, passionate, transparent, and communicative in the support of management and colleagues in the utilisation of this procedure.

4.4 Recruitment

To ensure the probationary period is clearly defined within the new entrant’s conditional offer of employment.
To issue new contracts of employment.
To be supportive, progressive, passionate, transparent, and communicative in the support of management and colleagues in the utilisation of this procedure.

4.5 Occupational health

To provide advice and guidance to managers about the outcome of any pre-employment health questionnaires and offer advice on reasonable adjustments to be considered where operationally feasible.

5 Contract of employment

The existence of a probationary period will not affect a new recruit’s length of service or statutory employment rights.
New recruits engaged in a probationary period are subject to the same range of trust policies and procedures as their colleagues, apart from the disciplinary policy and the performance management policy. Any conduct or performance issues will be dealt with under the probation policy until successful completion of the probationary period.

6 Best practice considerations

A probationary period is more likely to be successful if the new recruit has been given plenty of opportunity to raise issues and ask questions about the working environment.
Often, the new recruit may be nervous about asking for help, particularly if it is about something they have already been shown.
Therefore, during each meeting, the manager should make clear that the meeting is a two-way process to raise issues and for them to work together to find ways to ensure that the new recruit will be happy and successful in the role. One way of creating an open dialogue is for the manager to ask open questions. The manager should also listen actively to what the new recruit has to say.
It is the expectation that the probationary review form will be utilised at all probationary review meetings, to ensure consistency and assurance of the process. This form can be used to record objectives and track performance, this document can be found in appendix A of this document.
Ensure the new recruit has sight of the completed probationary review form, as the key points discussed at the meeting will serve as a reminder for both parties as to the actions and or support required.
Consider using SMART targets, these are goals that are specific, measurable, achievable, realistic and time bound. By setting a goal, an individual can roadmap success with a specific target. The key with setting targets is to build a framework and work together to create a goal that is carefully and thoughtfully planned out, executable and trackable.
The trust expects that mandatory and statutory MAST training will be completed within the probationary period for all new entrants.
In instances where the obstacles have been created by management failings (for example, a failure to put in place reasonable workplace adjustments; lack of support or training), or operations issues which prevented objectives being met (for example a particularly busy period; global pandemic etc.) the formal review may also result in the probation period being signed off to ensure the employee is not unfairly disadvantaged.

7 Procedure and implementation

The probationary period should be clearly outlined within the new employees’ conditional, and unconditional offer of employment and their contract of employment. It is the line manager’s responsibility to ensure that this contract of employment is issued on the first day of employment if it has not been possible to issue prior to commencing in post.

7.1 Length of probationary period

The first six months of employment for new entrants will be a probationary period. This may be extended for up to a further six months at the line manager’s discretion and reasons for this will be clearly documented and shared with the employee.
Probationary periods are to be utilised in conjunction with a rigorous induction and an induction plan.

7.2. Implementing a probationary period

The probationary period is normally a six-month period during which the performance, conduct and attendance of the employee will be assessed by a manager against the requirements of the role, the trust values, and behaviours alongside the expected levels of attendance and punctuality.

Within the trust, probationary periods are managed in a concise and structured four-stage manner.

7.3 Review induction stage

An initial probation induction meeting should be arranged within the first week(s) of employment with the trust to:

arrange a local, role-specific induction
aid the employee to familiarise themselves with the new setting, asking any questions they feel pertinent to the undertaking of the role
arrange any training requirements, support or reasonable adjustments required to support the employee undertake a holistic induction into the trust
where necessary review the pre-employment occupational health guidance prior to the first day of work to consider any support required. In addition, consider the utilisation of a workplace assessment, reasonable adjustments, IT requirements, support services, and access to work
identify a training plan that is supportive, considering that the new entrant is not expected to get everything right straight away. They will, in many cases, need to learn new processes and systems before they can get up to speed with the job at hand. Therefore, managers should identify these to them and build collaborative approaches to support engagement and understanding
arrange the review meeting, the emphasis should be on supporting and coaching the new entrant throughout the probationary period
document the conversation on the probationary review form and provide a copy to the employee

7.4 Review one

Arrange a probation review meeting (in a quiet room away from other colleagues) this should be arranged within the first month of employment with the trust, with all colleagues, and can be incorporated into normal supervision sessions to:

arrange any additional support and training as required
where necessary consider the utilisation of occupational health (and or review reports where this was identified at the last meeting), workplace assessments, reasonable adjustments, IT requirements, support services and access to work
ask the new entrant the following, what they think has gone well in the previous four weeks, document and discuss this with them.
ask the new entrant what they think has not gone as well over the last four weeks, document, discuss and seek answers identifying how they think this can be improved
address any concerns discussing these fully and openly
deliver constructive feedback using positive words, such as “improvement”, rather than negative words associated with failure
where necessary, develop a training plan that is supportive, considering that the new entrant is not expected to get everything right straight away. They will, in many cases, need to learn new processes and systems before they can get up to speed with the job identify these to them and build collaborative approaches to support engagement and understanding
where necessary, develop and discuss a maximum of three key areas for improvement, providing actions on how both parties will support the success of these identified areas
alternatively issue praise where things have gone well, identifying positive practice and where necessary reassuring the new entrant
discuss with the new entrant, the trust values, ask the new entrant to identify how they believe they have lived these in the review period, identify specific examples, and document these within the probation review form
arrange a further review meeting, the emphasis being on supporting the employee throughout the period
document the conversation on the probationary review form and provide a copy to the employee

7.5 Review two

Arrange the second probationary review meeting (in a quiet room away from other colleagues or on MS Teams) this should be arranged within month three of employment with all colleagues, and can be incorporated into normal supervision sessions with the trust to:

arrange any additional support and training as required
where necessary consider the utilisation of occupational health (and or review reports where this was identified at the last meeting), workplace assessments, reasonable adjustments, IT requirements, support services and access to work
ask the colleague the following, what they think has gone well in the last three months, document and discuss this with them
ask the colleague what they think has not gone as well over the last three months, document, discuss and seek answers from the employee on how they think this can be improved
address or review any concerns, discussing these fully and openly
where appropriate, deliver constructive feedback using positive words, such as “improvement”, rather than negative words associated with failure
discuss with the new entrant, the trust values, ask the new entrant to identify how they believe they have lived these in the review period, identify specific examples, and document these within the probation review form
develop and review the training plan in a supportive, considerate manner understanding that the new entrant is not expected to get everything right straight away. They will, in many cases, need to learn new processes and systems before they can get up to speed with the job. Therefore, identify these to them and build collaborative approaches to support engagement and understanding
where necessary, develop or review and discuss a maximum of three key areas for improvement, providing actions on how both parties will support the success of these identified areas
issue praise where things have gone well, identifying positive practice and where necessary reassure the new entrant
arrange a further review meeting, the emphasis being on supporting the new entrant throughout the probationary period
review the section which discusses the extending or ending of the probationary period section on page (insert)
document the conversation on the probationary assessment form or supervision form and provide a copy to the employee

7.6 Review three

Arrange the third and final probation review meeting (in a quiet room away from other colleagues) this must be arranged prior to the six-month anniversary date of employment with all colleagues, and can be incorporated into normal supervision sessions with the trust to:

arrange any additional support and training as required
where necessary consider the utilisation of occupational health (and or review reports where this was identified at the last meeting), workplace assessments, reasonable adjustments, technology, support services and access to work
ask the colleague the following,
- what they think has gone well in the last three months
- document and discuss this with them
ask the colleague what they think has not gone as well over the last three months, document, discuss and seek answers from the employee on how they think this can be improved
where necessary, address or review any concerns, discussing these fully and openly with the employee and or the manager
where necessary, deliver constructive feedback using positive words, such as “improvement”, rather than negative words associated with failure
develop and review the training plan in a supportive, considerate manner understanding that the employee is not expected to get everything right straight away. They will, in many cases, need to learn new processes and systems before they can get up to speed with the job identify these to them and build collaborative approaches to support engagement and understanding
where necessary, develop or review and discuss a maximum of three key areas for improvement, providing actions on how both parties will support the success of these identified areas
issue praise where things have gone well, identifying positive practice and where necessary reassure the employee
review the section which discusses the passing, extending, or the failing of the probationary period as outlined in section eight, page ten
document the conversation on the probationary review form and provide a copy to the employee
where it is deemed the new entrant has met the standards of the role this review can be used to confirm successful completion of the probationary period. A letter detailing that the new entrant has passed their probationary period should be issued with a copy retained in the employee file. The letter template is available in appendix B of this document

8 Reviewing progress during a probationary period

During each review meeting the line manager should provide feedback to the new entrant about their performance and progress, and where appropriate, clearly identify any areas of concern for which a plan of support should be put in place to address these. Should there be any specific incidents of concern arising, these should be raised with the new entrant as soon as possible with a view to resolution.

Where necessary, the line manager should clearly explain the consequences of underperforming to the new entrant, which may include extension of the probationary period or termination of employment.

Managers should not wait until the end of the probationary period before addressing performance issues. Neither should they wait between meeting(s) to discuss issues that have arisen during the day-to-day practice. Where necessary review meetings can be brought forward to discuss and review practice. Similarly, issues may be documented in supervision for consideration at the next juncture (probationary review meeting).

There are three possible outcomes to a final probationary review meeting:

the colleague may pass their probation becoming a permanent member of staff
the probationary period may be extended
the new entrant’s contract of employment with the trust may be terminated, should there have not been an improvement in practice, following management support and intervention

Where the manager decides, following their support and intervention that unfortunately the new entrant has not reached the level of performance required for the role, they should be referred for a probationary review hearing, where consideration of their ongoing employment with the trust will be considered.

8.1 Successful completion of probation

Prior to the end of the probationary period a final review should be held where the employee’s performance and suitability for the post is considered. This meeting will involve a review of the employee’s performance, attendance, and progress throughout the probationary period. This review meeting should be arranged shortly prior to but not after the last date of the probationary period.

Should the new entrant’s performance be satisfactory, the line manager should notify the employee at the final probationary review meeting, issuing a letter of confirmation of substantive appointment following this.

8.2 Extending probation

Managers have the discretion to extend a new entrant’s probationary period for up to six months in the first instance and where there is appropriate circumstance to do so. This discretion however should be utilised in conjunction with the advice and support of the Human Resources team. The team will support managers to review the reason(s) for the extension, the specific area of conduct or capability, and any supporting documentation to advise if the reason for the extension is both fair and equitable.

For probation to be extended the manager must have reasonable concerns and must have undertaken the review process as directed, being able to issue documentary evidence for assurance and consistency purposes.

Similarly, new entrants should have been given fair opportunity to reach the required standard of performance during the probationary period.

Should the line manager deem it reasonable to extend the probationary period, a meeting will be arranged with the line manager and the new entrant, following discussion with the relevant care group director, head of service or corporate director and an extension of a maximum of 6 months can be provided along with an action plan to address the concerns and provide support. It would also be recommended to seek advice from the Human Resources team at this point.

If it is deemed appropriate to extend the probationary review period then the set timescales should be defined and communicated to the employee in the meeting, with an outcome letter discussing the reasons provided. The template letter is located in appendix C of this document.

8.3 Unsatisfactory probation

If it is determined unlikely that further training or support would lead to a satisfactory level of improvement within a timely period, the decision may be taken that employment will be terminated, and two weeks’ notice will be given. This decision can only be taken at an appropriately convened probation review meeting.

If the new entrant’s performance has not met the standards required by the organisation within the probationary period the employee should be notified of their requirement to attend a formal review meeting, chaired by a manager as outlined in the schedule of delegated authority to deal with disciplinary matters, as enclosed in the trusts disciplinary policy and supported by a representative from the Human Resources team.

The new entrants line manager must compile a statement of case on the progress of the probation, outstanding issues and support provided. The line manager may be requested to attend to provide details of the probationary period review process conducted. The manager must notify the employee in writing of the requirement to attend the probationary review meeting.

The employee will be entitled to be accompanied by a companion. The chosen companion may be a colleague, a trade union or professional organisation representative or an official employed by a trade union or professional organisation. The letter inviting the new entrant to this meeting should clearly state that consideration may be given to terminating the contract of employment.

The outcome of the formal review meeting should be confirmed to the employee in writing, usually within seven working days of the meeting.

Should significant concerns arise regarding an employee’s capability or conduct during the six-month probationary period, the line manager has the discretion to bring forward this formal review meeting, at which the decision may be taken to terminate employment with two weeks’ notice, prior to the end of the six-month probationary period. A full statement of case must be completed by the line manager and provided to the chair and the new entrant before the meeting.

9 Appeals procedure

Employees will be advised at the formal review meeting and in the letter confirming the outcome of this meeting of their right of appeal and will be given details of to whom any appeal should be addressed.

Appeals must be lodged in writing by the employee (with the assistance of their staff side or professional organisation representative should they wish) within 21 calendar days of the date of the letter confirming the outcome. The letter must state their grounds for appeal in full.

10 Associated documents

11 Flowcharts

Probation SOP flowchart, detailed below.

Manager prepares induction probation and training plans and where applicable pre-employment occupational health guidance.
New employee starts employment.
Conduct week one meeting, settle in and set objectives.
Conduct month one meeting, agree training, induction checklist assign buddy.
Conduct month three meeting, review progress discuss improvement and support (where applicable).
- not meeting required standard. Go to section 11.1.
- working towards required standard:
  - extend probationary period, where appropriate and agree action plan
  - conduct regular review:
    - not meeting required standard. Go to section 11.1.
    - met required standard:
      - successfully completed probation period
      - confirm completion of probation and issue template letter, schedule monthly supervision sessions
Conduct month six meeting, review progress discuss improvement and support (where applicable).
- met required standard:
  - successfully completed probation period
  - confirm completion of probation and issue template letter, schedule monthly supervision sessions
- working towards required standard:
  - extend probationary period, where appropriate and agree action plan
  - conduct regular review:
    - not meeting required standard. Go to section 11.1.
    - met required standard:
      - successfully completed probation period
      - confirm completion of probation and issue template letter, schedule monthly supervision sessions

11.1 Failed probation period

Contact the People Experience team.
Generate statement of case, providing documentary evidence of context and support issued.
Invite to formal review with director or head of department. Provide statement of case to chair and employee.
Where dismissed arrange collection of trust property. Employee will have a right to appeal.

12 Appendices

Document control

Version: 1.1.
Unique reference number: 1070.
Date ratified: 8 January 2024.
Ratified by: Corporate policy approval group.
Name of originator or author: Human resources.
Name of responsible individual: Executive director of people and organisational development.
Date issued: 10 January 2024.
Review date: 30 November 2025.
Target audience: All employees of the trust.

Page last reviewed: April 12, 2024
Next review due: April 12, 2025

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