Australian National University Enterprise Agreement 2005-2008

Part Two — Appointments | Section 4 — Upon Commencement

18. Probation

18.1 General Provisions Applying to Probation Periods

Purpose of Probation
18.1.1 The purpose of a probation period is to provide a period in which an appointee's (the probationer's) suitability to the position, to the University and to the particular workplace can be assessed. The desired outcome of a probation period is that the probationer's employment will be confirmed. During a probation period, the University will offer appropriate support, development opportunities and feedback to assist the probationer to achieve that outcome.

Application
18.1.2 A staff member, other than a casual employee, may be required to serve a probation period at the commencement of an appointment.

18.1.3 Any second or subsequent fixed term appointment will not contain a probation period where the employment is a renewal or extension of an initial fixed term appointment.

General Provisions relating to confirmation of appointment
18.1.4 Nothing in this Agreement prevents confirmation of an appointment by the Delegate at any time during the probationary period.

18.1.5 Confirmation of a probation period will be automatic and immediate where a staff member is promoted (in the case of an academic staff member) or reclassified to a higher ANU Officer Level (in the case of a general staff member).

General Provisions relating to annulment of appointment
18.1.6 Subject to sub-clause 18.1.7, a probationer whose appointment is annulled will be given notice of termination of employment in accordance with clause 74.

18.1.7 Where a probationer's behaviour constitutes serious misconduct, as defined in clause 65, the probationer's employment may be terminated at any time, without notice, and the requirements of clause 74 will not apply.

18.2 Probation periods

18.2.1 The length of the probation period will be reasonable having regard to the nature and circumstances of the appointment but will, subject to clauses 52 and 53 (which relate to student and graduate employment), not exceed the maximums specified in the following table:

18.3 Basic probation procedures — where performance standards are met

18.3.1 In accordance with clause 17, where a staff member's employment is subject to a probation period, his or her (the probationer's) contract of employment will specify the period and conditions of the probation.

18.3.2 A copy of the staff member's job description and the University's Code of Conduct will be provided to the probationer upon his or her appointment.

18.3.3 Within one month of the probationer's commencement with the University, the supervisor will conduct an initial probation meeting. During this probation meeting the supervisor will confirm the specific performance standards for the probationary period. The performance standards will relate to the duties and/or level of the position as well as the expectations for conduct and suitability to the workplace.

18.3.4 During the probation period the supervisor will conduct further probation meetings with the probationer, as required.

18.3.5 During a probation meeting the supervisor will assess the probationer's performance, conduct and general suitability to the workplace and position against the performance standards. Where the probationer's performance is considered to be less than satisfactory, the supervisor and probationer will agree a reasonable plan to assist the probationer to achieve the performance standards within the remaining probationary period.

18.3.6 Following a probation meeting the supervisor will provide the probationer with a written report outlining the outcomes of the meeting.

18.3.7 Where the supervisor assesses that the probationer's performance, conduct and suitability are satisfactory, the supervisor must either:

18.3.7(a) advise the probationer that the probation period be continued until the next probation meeting within the initial probation period, provided that the next probation meeting is not less than 2 weeks prior to the end of the probation period; or

18.3.7(b) recommend to the delegate that the appointment be confirmed.

18.3.8 If the supervisor recommends confirmation in accordance with paragraph 18.3.7(b), the delegate may:

18.3.8(a) seek further supporting information; or

18.3.8(b) confirm the appointment.

18.4 Probation procedures where performance standards not met — other than Standard Academic Appointments

18.4.1 Where, at any stage of the probation period, the supervisor assesses that the probationer's performance, conduct and/or suitability does not meet the performance standards, the supervisor will advise the probationer:

18.4.1(a) that the performance standards have not been met, outlining the deficiencies;

18.4.1(b) that the probationer's performance, conduct and suitability will be closely monitored during a "review period", outlining the timeframe for the review period;

18.4.1(c) of the expectations for improving in accordance with the performance standards; and

18.4.1(d) that if the performance standards are not met the probationer's appointment may be annulled.

18.4.2 If, following the review period as outlined in paragraph 18.4.1(b), the supervisor assesses that the probationer's performance, conduct or suitability remains unsatisfactory, the supervisor must, at least 10 days prior to the end of the probationary period, recommend to the delegate that either:

18.4.2(a) the appointment be annulled; or

18.4.2(b) the probation period be extended provided that:

18.4.2(b)(i) the probation period may be extended in accordance with sub-clause 18.2.1; and

18.4.2(b)(ii) the extension is applied to give the probationer additional opportunity to meet the performance standards.

18.4.3 The probationer will be given an opportunity to respond to the supervisor's recommendation.

18.4.4 Following consideration of the supervisor's recommendation and any response given by the probationer, the delegate may recommend to the Director, Human Resources that the appointment be annulled.

18.4.5 The Director, Human Resources will:

18.4.5(a) annul the appointment; or

18.4.5(b) direct that the probation period continue, provided that the total period of probation does not exceed the maximum period specified in sub-clause 18.2.1.

18.5 Probation procedures where performance standards not met — standard academic appointments

18.5.1 Where, at any stage of the probation period, the supervisor assesses that the probationer's performance, conduct and/or suitability does not meet the performance standards, the supervisor will advise the probationer:

18.5.1(a) that the performance standards have not been met, outlining the deficiencies;

18.5.1(b) that the probationer's performance, conduct and suitability will be closely monitored during a "review period", outlining the timeframe for the review period;

18.5.1(c) of the expectations for improving in accordance with the performance standards; and

18.5.1(d) that if the performance standards are not met the probationer's appointment may be annulled.

18.5.2 The supervisor will also:

18.5.2(a) where the probationer is eligible for incremental progression under clause 21, recommend whether the increment be withheld; and

18.5.2(b) recommend that either:

18.5.2(b)(i) the appointment be annulled; or

18.5.2(b)(ii) the probation period be extended provided that the extension is applied to give the probationer additional opportunity to meet the probationary criteria and provided that the total period of probation does not exceed the maximum period specified in sub-clause 18.2.1.

18.5.3 The probationer will have an opportunity to respond to the supervisor's recommendation.

18.5.4 Following consideration of the supervisor's recommendation and any response given by the probationer the delegate will:

18.5.4(a) where at paragraph 18.5.2(a) the supervisor has recommended the withholding of an incremental salary progression, decide whether or not to withhold the increment; and

18.5.4(b) either:

18.5.4(b)(i) extend the probation period, provided that the total period of probation does not exceed the maximum period specified in sub-clause 18.2.1; or

18.5.4(b)(ii) refer the recommendation to a Probation Committee for consideration.

18.5.5 If the delegate decides in accordance with paragraph 18.5.4(b)(i), the probationer and the supervisor must agree a reasonable plan to assist the probationer to achieve the performance standards within the remaining probationary period, and the dates of review prior to the end of the probationary period.

18.5.6 If the delegate decides in accordance with paragraph 18.5.4(b)(ii) the matter will be referred, within 5 working days, to a Probation Committee.

Probation Committee
18.5.7 The Probation Committee will be convened by the Delegate and comprise:

18.5.7(a) a nominee of the probationer's Dean or Director (chair);

18.5.7(b) a member of the probationer's work area*;

18.5.7(c) a staff member holding a standard appointment from a cognate discipline, outside the work area*; and

18.5.7(d) such additional members as the Dean or Director may determine*.

* normally a standard appointee at the same level or a higher level than the probationer.

18.5.8 The Probation Committee will consider any relevant documentation.

18.5.9 The Probation Committee must report in writing to the Delegate recommending that:

18.5.9(a) the appointment be annulled; or

18.5.9(b) the appointment be confirmed; or

18.5.9(c) where extension is an option, the probation period be extended provided that the extension is applied to give the probationer additional opportunity to meet the probationary criteria and provided that the total period of probation does not exceed the maximum period specified in sub-clause 18.2.1.

18.5.10 Where the Probation Committee recommends extension of the probation period in accordance with paragraph 18.5.9(c), the probationer will be advised, in writing, where their performance requires improvement and, where the probationer is eligible for incremental progression, that an increment will be withheld until performance is assessed as being satisfactory.

18.5.11 During the extended probation period the Supervisor will regularly review the probationer's performance and conduct against the standards set out in the advice to the probationer under sub-clause 18.5.10.

18.5.12 No later than 10 working days prior to the end of the extended probation period the probationer's supervisor will undertake a final assessment of the probationer's performance and conduct, having regard to the performance standards, and either:

18.5.12(a) advise the chair of the Probation Committee that the required performance improvement has occurred and recommend confirmation of appointment, and if the probationer is eligible for incremental progression, recommend that an increment will be awarded (in which case such increment will apply from the date upon which the supervisor advises the probationer that the required performance improvement has occurred); or

18.5.12(b) advise the chair of the Probation Committee that the required performance improvement has not occurred and recommend annulment. Following receipt of such advice, the chair of the Probation Committee will recommend to the Delegate that the appointment be annulled.

18.5.13 Where the Delegate supports the recommendation for the appointment to be annulled, the documentation will be forwarded to the Director, Human Resources to determine whether the appointment will be annulled.

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