probationary personal development planning …...designing a personal development plan 8. support...

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Probationary Personal Development Planning

(PPDP)

and the Probation Process

Guidance for Academic Probationers

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Probationary Personal Development Planning (PPDP)

and the Probation Process

Guidance for Academic Probationers

1. Introduction from the Dean

2. The purpose of probation and probationary personal development planning

3. The PPDP and probation process

4. Setting objectives

5. Responsibilities in the PPDP and probation process

6. Assessing existing capabilities

7. Designing a Personal Development Plan

8. Support for the development of your research, teaching and scholarship

9. The role of your mentor

10. Annual reviews and end of probation review

11. Completing probation 12. Further sources of information

Appendix 1 Indicative areas of activity for objective setting Appendix 2 Academic Role Profile for Lecturer to pass 3 year probation Appendix 3 PPDP Form Appendix 4 Annual Probationary Review – Summary Form

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1. Introduction from the Faculty Dean

Dear Colleague, Congratulations on your recent appointment, and welcome to Keele University. I am pleased to be able to introduce to you this booklet Probationary Personal Development Planning (PPDP) and the Probation Process: Guidance for Academic Probationers. The booklet contains important information on how to go about preparing agreed objectives for your probation, together with a personal development plan, and explains how your progress towards meeting your objectives will be supported and reviewed throughout your period of probation. Your probation is an important start to your academic career at Keele and is designed to be a supportive and developmental process. You should consider your PPDP as a personalised agreement between you and the University in which the expectations and commitments of both parties are clearly set out. For this reason it is essential that the process is followed diligently and the deadlines for completion of the various stages are met. The booklet clearly set out the stages and responsibilities of the various people involved. As your probation progresses, you will collect evidence of your achievements against the objectives determined through conversation with your mentor and your Head of School. This, along with your PPDP and the annual review forms will help you build up a complete record of your progress through your probationary period. I hope that your probationary period will be a productive and rewarding time for you. If you have any concerns relating to the completion of the PPDP, or progress with your objectives or development plan, please do bring these to the attention of your mentor and/or your Head of School as soon as possible, so that they can take prompt action with you to ensure that your chances of successful completion of probation are not compromised. I wish you every success in your probationary period.

Yours,

[insert signature] Pro Vice-Chancellor and Dean of (insert)

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2. The purpose of probation and probationary personal development

planning

Effective probation is beneficial for the career development of new staff, as it provides a period of time during which individuals can learn new skills and gain experience to help them do well in the role to which they have been appointed. Progress reviews during, and at the end of, the probationary period allow Heads of School to make fair assessments of the competence of new academic staff members for their post. Probation is not just a paper exercise.

The benefits of basing your probation on an agreed Probationary Personal Development Plan (PPDP) for you, the new member of staff, are:

you have agreed objectives to work towards;

your support and development needs can be identified and met;

dialogue between you and your Head of School is encouraged, so both parties

can communicate their expectations within probation, and any difficulties encountered can be discussed;

the PPDP provides the basis for constructive feedback on progress towards

meeting your objectives;

the review schedule encourages ongoing support from your appointed mentor.

3. The PPDP and probation process

The PPDP and probation process entails:

Producing a clear statement of appropriate, agreed objectives for you, the new member of staff;

Encouraging formulation of a detailed and practical development plan designed to

help you achieve your objectives through the provision of tailored guidance, developmental opportunities, monitoring and evaluation of your ongoing progress;

Holding regular progress review meetings between your mentor and you with

brief notes taken and retained by you until the satisfactory completion of probation. In years 1 and 2 of your probationary period, meetings with your mentor must take place on at least a quarterly basis. In the final year of your probationary period, meetings must take place at least every six months;

Holding an annual formal probationary review meetingwith your Head of School

to assess and record progress, agree any changes to your original PPDP and plan further measures to assist you in meeting the objectives that have been jointly agreed.

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Key events in the process are:

When? Who? What?

Ye

ar

On

e

After interview and before starting in post

Keele HR department

Head of School

Issues letter of Appointment stating length of probationary period (normally, 3 years)

Allocates a mentor to the probationer

Not later than 2 weeks after appointment

Head of School

Allocates probationer a mentor if not already allocated as part of pre-induction

Not later than 6 weeks after appointment

Probationer and Head of School

Meeting to jointly agree content of PPDP including objectives, sign and forward PPDP to Dean

Year 1 ongoing Probationer and mentor

Support meetings at least quarterly to discuss and obtain feedback on progress

End of Year 1 Probationer and Head of School

Formal probationary review meeting and report on progress in Year 1 including strengths and/or concerns; signed copies retained by Dean, Head of School and the probationer

Ye

ar

Tw

o


Support meetings at least quarterly to discuss and obtain feedback on progress

End of Year 2 Review


Formal probationary review meeting and report on progress in Year 2 including strengths and/or concerns; signed copies retained by Dean, Head of School and the probationer

Ye

ar

Th

ree


Support meetings at least every six months to discuss and obtain feedback on progress

At least 2 months before the end of the probationary period


Formal end of probation review meeting and report on progress; Head of School completes and submits to Dean an end of probation report recommending confirmation of appointment or non-confirmation of appointment; signed copies retained by Dean, Head of School and the probationer. Where non-confirmation is recommended a formal hearing will be convened.

Within 2 weeks of end of probation decision

Keele HR department

Decision on outcome of probation and appropriate follow up action is communicated in writing to the probationer with copy to Head of School

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4. Setting objectives

A key part of developing a PPDP is the setting of agreed objectives for you in your new academic role.

In setting objectives the following aspects are important:

Participation – joint objective setting is far more effective than having objectives imposed;

Specificity – results are much more effective where the objectives are clear and specific;

Challenging – challenging (but realistic) objectives are more motivating and help you to achieve your best;

Feedback – you are likely to make better progress when regular, constructive feedback is provided;

Relevance – commitment is maximised where objectives are relevant and important to both you and your School.

A well formulated PPDP sets out clearly what is expected of all parties involved in your probation. Since a PPDP is not a static document it will almost certainly evolve as progress is made, and objectives should be reviewed at least annually. Achievement of objectives is a key consideration in signing off each year of probation and in reaching a decision on confirmation or non-confirmation of appointment at the end of the designated probationary period.

Appendix one provides an indicative list of areas of activity that will form the basis of probation objectives and appendix two details the academic role profile of a Lecturer who has passed the 3 year probationary period. Appendix three provides a blank PPDP form.

5. Responsibilities in the PPDP and probation process

The individual probationer, the Head of School and the mentor have responsibilities in the preparation of the PPDP and the probation process.

As a probationary member of staff your key responsibilities are to:

Freely discuss your work and its progress, including any difficulties;

Seek to clarify any expectations which are not clear;

Ask for help, training or resources where needed;

Accept and discuss any feedback, participating in constructive dialogue;

Identify issues which may impact on performance in future;

Provide feedback to the Head of School on your progress and alert them to any concerns around the support in place, including the mentor;

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Share any issues or performance expectations with your mentor as these develop and change throughout the probationary period.

The responsibilities of the Head of School are to:

Be well informed of your progress by obtaining feedback from you and other appropriate sources;

Listen to your comments and discuss them openly with you;

Ask questions to obtain a clear view of how well you are achieving your objectives;

Provide and openly discuss feedback with you in a constructive way, whether

positive or critical;

Be open to both positive and negative feedback from you, the staff member;

Be prepared to negotiate with you to alter plans or individual objectives in an appropriate way if circumstances require;

Conduct the annual probationary review and share the summary with you and the Dean.

The responsibilities of the Mentor are to:

Be available to meet with you regularly throughout your probationary period and to sign off that meetings are taking place;

Sponsor your learning and development by listening to you and offering support,

guidance and signposting to additional resources such as University services, professional networks and other colleagues;

Provide feedback to you on your progress;

Treat the relationship with you as private and confidential;

Undertaking appropriate training and development to fulfil the role.

6. Assessing existing capabilities

Part of the process of setting objectives is to ensure that objectives are not set which are impossible for you to achieve. However, it is desirable that objectives should require a level of motivational stretch and challenge in order to be reached. Objectives must be realistic and appropriate to career stage.

In determining ‘achievable objectives’ cognisance should be taken of your current

level of competence in relation to each objective. Where support and

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development is seen as a feasible course of action to support achievement of stretch objectives, it is essential that a planned programme of support and development is documented and incorporated into the PPDP.

Assessing your capabilities at the outset of the probationary personal development

planning process provides a safety net for both you and the School. It is recognised that new academic staff may start probation with varying levels of capability in the key areas of research, teaching, leadership and academic administration. The PPDP process allows for this by documenting your existing capabilities in teaching, research, leadership and academic administration, and using this information as the starting point for drawing up an agreed support and development plan for you.

The Organisational Development Team in Human Resources offers central

induction to the University for all new staff (Welcome to Keele) as well as guidance on local induction practices. It also provides professional development workshops and events, many of which are designed and scheduled to support new academic staff develop their potential. More tailored support for the development of research and teaching capabilities is provided by the Keele Institute for Innovation and Teaching Excellence (KIITE.) Probationary academic staff who have a substantive teaching and assessment role and no prior UK Higher Education teaching experience are required to commence study on the Masters in Higher Education Practice, and will be supported to complete 60 credits of study to develop their teaching practice over two years. It is also common practice for new starters to additionally complete 60 credits of study linked to developing research and leadership capabilities over the same period. Together this leads to the award of Diploma in Higher Education Practice. A range of study routes are available and your Head of School will negotiate the best route for your development needs, including making a decision about concurrent enrolment on the Academic Professional Apprenticeship.

7. Designing a Personal Development Plan The PPDP form can be found at Appendix three.

The PPDP encourages the formulation of a detailed and practical plan of support and development designed to help you achieve your objectives. It is important that you take time to consider your development needs and consider the probationary objectives that you are required to meet. It is useful to consider and identify gaps in your current capabilities and aspects of your role where you are not entirely confident that you can meet the required standards, without support and development. While you reflect on your development needs and the probationary objectives, it will be worth considering any particular challenges that you may encounter in carrying out your duties and any special factors, such as the scheduling of different aspects of your work or the availability of training. In light of these considerations, you should then determine with your mentor and Head of School both your objectives for each year’s work during your probation, and the support from colleagues and development opportunities that you will need to give you a good prospect of attaining your PPDP objectives. The Organisational Development Team in HR and KIITE provide a range of learning and development opportunities that are relevant for probationary academic staff from different

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disciplines and with varied background experience in Higher Education. Within KIITE, there is an academic developer linked to each Faculty who can provide details of the offer and help you assess its relevance to your needs. If you are enrolled on the Academic Professional Apprenticeship you will need to keep a record of your off-the-job training and development. Even if you are not enrolled on the Apprenticeship, keeping a record of your engagement in learning and development is a good discipline to sustain through probation. Keele has some development expectations of all academic staff, for example, involvement in peer review of teaching practices. You may also need to consider development expectations of your discipline, School or Faculty of your relevant professional organisations. Each may provide support and development opportunities too. Further examples of activities that could be used explicitly to support and develop you include:

collaborating with colleagues (e.g. team teaching, co-writing);

coaching, mentoring or supervising;

development programmes, training and events;

working towards relevant qualifications and accreditation;

self-study and reading;

participation in project work or professional organisations, including attending and presenting at conferences and events;

reflecting and acting on feedback from students, colleagues, your mentor and your Head of School.

In terms of better identifying your professional development, it will be useful to discuss and consider your learning preferences with your mentor and Head of School for instance through reading research, listening, discussion, practical activities, projects, experimentation, formally or informally, individually or in a group.

8. Support for the development of your research, teaching and scholarship

A wide range of professional development opportunities are available for all staff at Keele, however there are some specific programmes and support provided for those joining the University and those in their first substantive academic role, with the expectation to undertake research and teaching or both activities. All new staff to Keele join the Keele Welcome programme. This comprises a half-day face-to-face orientation session (with input from a range of different colleagues in the University and a welcome from a member of the University’s Executive team), a guided online learning course on information security and the expectation to attend a further two events in the first two years of employment from a wide range of options. There are some other mandatory courses for which completion is a requirement of role or function. For example, anyone involved in recruitment and selection processes must complete a short online training package every two years.

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Probationary academic staff employed in their first substantive academic role in UK Higher Education here at Keele are required to complete a two year programme called the Diploma in Higher Education Practice. This programme is benchmarked to descriptor 2 of the UK Professional Standards Framework for teaching and supporting learning and to phase two/three of the Vitae Researcher Development Framework. It supports participants to gain the knowledge, skills and behaviours to succeed as an academic professional. For some academic staff, a further expectation in role will be to complete an additional assessment of competence in either teaching or research and thus to complete and pass the sector’s ground-breaking Academic Professional Apprenticeship (see section 12). This qualification values both the development of competencies through the work place and through academic study. The exact expectations will be negotiated with your Head of School when you join the University as, depending on the proportion of your time spent on research and teaching, different study routes and exit awards might be more appropriate. There may also be the potential to APEL aspects of the Diploma depending on your prior experience or study on a similar programme elsewhere. Accreditation of Experiential or Prior Learning (APEL) is dealt with on an individual basis. Study on the programme is supported by a tutor and a discipline-based mentor (see section 9) and has been designed to ensure that there is a great deal of transfer of learning from the course to the activities of your role. The Diploma is just part of a wide range of development opportunities to develop and sustain the currency of your knowledge and skills to teach, undertake internationally relevant research and sustain professional effectiveness in the discharge of a range of other aspects of academic work. In addition to the University’s central support for your development, there may be other local opportunities in your School or Faculty or a fund to which you can apply for support to attend events held outside the University.

9. The role of your mentor

There is a requirement to have a completed and approved PPDP within 6 weeks of appointment. During this period, support and guidance is provided by both the Head of School and your mentor in order to help you to formulate your PPDP. You will be allocated a mentor shortly after commencement of employment at Keele. In some cases, it may be that two mentors are allocated, one concentrating on research-related activities and the other on teaching related activities.

Mentors play a crucial role in supporting you throughout your probationary period to help you to successfully achieve the objectives set out in your PPDP. It is important that you have regular contact with your assigned mentor(s) during the first month in employment to devote adequate time to discussing your PPDP and to start formulating ideas about your development needs. You should then have meetings on at least a quarterly basis to help you monitor your progress. If you are enrolled on the Academic Professional Apprenticeship, you will need to maintain a record of these meetings and additionally invite your academic tutor from the Diploma programme to attend. Mentors are not in a managerial relationship to new academic staff at Keele, but are there to offer guidance, support, encouragement and informed, constructive feedback. The mentor’s role is essentially to accelerate the rate at which the probationer learns. A mentor therefore has to possess a real interest in the other person and specifically in their development and learning.

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Your mentor will be nominated by your Head of School who will, as far as is reasonably possible, ensure that the mentor is acceptable to you. Successful mentoring aims to enable you to develop a realistic assessment of your existing skills, to monitor your ongoing progress, and to establish an appropriate development path. Contact with your mentor is essential during the early stages of formulating a PPDP but is just as important throughout all of your probation so that your mentor can monitor your progress and provide constructive feedback. If your mentoring arrangements are not working you should at first try to resolve the matter directly with your mentor. If there are still problems you should discuss these with your Head of School at the earliest opportunity. Information about the mentoring relationship is available on the Organisational Development web pages and via the link in section 12.

10. Annual reviews and end of probation review

The process for arranging and conducting probationary progress reviews is described within the Academic Probationary Procedure.

The probation process entails, normally, a first and second year review and an end of probation review in the third year. The purpose of these reviews is to monitor performance and progress of the objectives jointly determined in the personal development plan and to provide continuing support and guidance. The need for ongoing feedback and support from your mentor has already been emphasised and there should also be frequent contact between you and your Head of School, not simply at the end of year review and end of probation review. It is important to raise any concerns you may have about your progress at the earliest opportunity with your mentor and/or Head of School– this should not be delayed until formal review meetings. This will ensure that you are absolutely clear about expectations and priorities for the remainder of your probationary period, that you have the best possible chance of addressing any issues with progress, and that you are not faced with any unexpected difficulties at the end of the probation period.

At the annual probationary review meeting your Head of School will discuss with you your progress against agreed objectives, development activities that you have participated in during the review period, any need for additional support and development that may have been required and a summary of your main achievements during the review period. Any particular difficulties experienced by you during the review period should be also documented.

As part of the annual review the Head of School will agree with you PPDP objectives for the forthcoming year and updates to the personal development plan to support achievement of these new objectives.

11. Completing probation

The objectives to be achieved and the development activities agreed in the PPDP are viewed as requirements for satisfactory completion of probation and part of your contractual requirements.

Two months before the end of the probationary period, the annual probationary review will be conducted by the Head of School and will conclude with a recommendation from the Head of School of one of the following:

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Successful completion of probation and appointment to grade 8;

Limited extension of probation;

Probation has not been successfully completed and that a formal hearing to consider termination of employment should be convened

You will have the opportunity to add your comments. The Dean will receive a copy of the annual probationary review summary form and will review the recommendation contained within it. If the Dean agrees with the recommendation appropriate follow up actions will be taken i.e. confirmation in writing of successful completion of probation, or limited extension, or invitation to attend a formal hearing to review concerns, which could lead to termination of employment.

If the Dean does not agree with the Head of School’s recommendation s/he will review the matter with the Head of School and you be provided with feedback on the outcome of these discussions.

Further information on the procedures associated with Completing Probation is detailed in the Academic Probationary Procedure.

12. Further sources of information

Academic Probationary Procedure Academic Professional Apprenticeship Standard and Assessment Plan

Organisational Development web pages Academic Development web pages at the Keele Institute for Innovation and Teaching Excellence

https://www.instituteforapprenticeships.org/apprenticeship-standards/academic-professional/

https://www.keele.ac.uk/organisationaldevelopment/

https://www.keele.ac.uk/academicdevelopment/

https://www.keele.ac.uk/academicdevelopment/

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APPENDIX 1: Indicative areas of activity for objective setting

Indicative area of activity Specific activities and tasks Measures of success (qualitative and quantitative) Timeframe

Research: Grant income Research Plan Publications Enterprise partnerships Esteem indicators

Teaching: Postgraduate supervision Attendance and completion of the TLHEP programme

Design and delivery of undergraduate teaching

Design and delivery of postgraduate taught materials

Personal tutoring

Teaching effectiveness indicators

PERSONAL/ STRICTLY CONFIDENTIAL

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Leadership and Administration (POMA): Contribution to the research environment of the School

Additional roles of responsibility as appropriate

Contributions to disciplinary communities beyond Keele

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APPENDIX 2: ACADEMIC PROFILE (June 2018)

This Profile sets out the key indicators which will be used in deciding whether probation has been passed. They are not a checklist, although some of the indicators are essential criteria.

LECTURER (Education and Research) TO PASS THREE YEAR1 PROBATION

1. Research THE REQUIRED STANDARDS FOR THE SCHOOL/SUBJECT AREA TO BE SPECIFIED

* Evidence of an ability to publish, at a rate appropriate to subject, a range of outputs that are recognised internationally as being of high quality with respect to their originality, significance and rigour, to include outputs based on research undertaken since appointment to Keele.2

* Competitive external funding applied for and/or attained as appropriate to subject area.

* Research presentations at conferences.

* Clear evidence that plans are in place to develop high quality outputs in the coming years.

* PhD obtained.

2. Education Performance and Professional Development

Evidence of Professional Development: - * Completion of PG(Dip) in Higher Education Practice

and if applicable the Academic Professional Apprenticeship, or (for those with experience) Fellowship of HEA (Higher Education Authority).

- Attendance at relevant courses for learning and teaching.

Contribution: - Contributes appropriately through breadth or range of

modules/levels to the teaching load of the unit. - Evidence of effective engagement with students leading to an enhanced student experience.

Performance: - *Evidence of good teaching, for example through student and peer evaluations. - Teaching awards.

3. Academic Leadership and Good Citizenship

Contribution to School administrative and curricular tasks. Examples could include student recruitment work, outreach activities or development of international partnerships.

* Essential to pass probation, subject to terms specified in letter of appointment.

1 Only in exceptional circumstances, when a Head of School believes that the required standards are demonstrably exceeded, should candidates be brought forward early for consideration to be confirmed in post. 2 Being on track for a future REF exercise will normally be understood to be a necessary minimum condition to satisfy this requirement, but it may not be sufficient.


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APPENDIX 3: PPDP Form

PERSONAL/STRICTLY CONFIDENTIAL

PROBATIONARY PERSONAL DEVELOPMENT PLAN (PPDP)

NAME

JOB TITLE

SCHOOL

REVIEWING MANAGER

MENTOR

DATE OF MEETING

SECTION 1 – Agreed probationary objectives and desired outcomes (with timescales).

Achievement of objectives is a key consideration is signing off each year of probation as being successfully completed and in reaching a decision on confirmation or non-confirmation of appointment at the end of the designated probationary period. The Probationary Personal Development Planning (PPDP) and the Probation Process: Guidance for Academic Probationers document provides advice on and examples of drafting objectives and sets out the responsibilities of the individual, their mentor and the Head of School in this process. Objectives should cover all areas of activity in relation to the individual’s academic contract ie Research, Teaching and Administration (and clinical duties if appropriate) and should be detailed within the table overleaf.

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Area of Activity Specific activities and tasks Measures of success (qualitative and quantitative)

Time-frame (start and end dates)

Teaching

Research

Leadership and Administration

Other (e.g. clinical activities)


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SECTION 2 – Training and development needs to support achievement of probation objectives. Please refer to section 7 of the Guidance for Academic Probationers for information and advice on completing this section.

SECTION 3 – Key actions; both sections must be completed.

3a) Individual’s actions

3b) Actions for Head of School


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Signed …………………………………… (Head of School)

Date …………………….

Signed …………………………………………… (Individual)

Date……………………..

Comments by Dean

Signed ………………………………………………………….. Date……………………..


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APPENDIX 4: SUMMARY FORM

PERSONAL/STRICTLY CONFIDENTIAL

ANNUAL PROBATIONARY REVIEW - SUMMARY FORM

NAME

JOB TITLE

SCHOOL/RESEARCH

INSTITUTE

REVIEWING MANAGER

DATE OF ANNUAL

PROBATIONARY

REVIEW

End of Probation Year (please tick)

1 ☐

2 ☐

3 ☐

SECTION 1 – This section should note any significant changes to the role,

factors that may have led to the objectives being modified, or any other

circumstances that need to be considered.


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SECTION 2

SECTION 2a – Summary of specific progress/achievements in the last 12 months (referring to role expectations and objectives, noting progress, additional contributions, actions that have not been fully completed and where objectives should be updated and/or carried over to the coming year).

Where applicable please record progress on undertaking the Academic Professional Apprenticeship and PG(Dip) in Higher Education Practice

A grid may be included e.g. PPDP objectives template

SECTION 2b – Career aspirations (provide an indication of future career

aspirations and promotions pathways, where appropriate)

SECTION 3 – Feedback (Please consider key strengths and areas of

development for each aspect of the role, referring to the guidance notes for

further information.) Feedback must clearly indicate where there are areas of

excellence in performance, and/ or where there are areas of concern. In this

latter case, actions to address these concerns must be identified.


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SECTION 4 – Agreed objectives and desired outcomes (with timescales).

A grid may be included e.g.PDDP objective template

SECTION 5 – Training and development needs to support achievement of objectives/ professional development and, where appropriate, to support career development, including consideration of the role of the mentor.

SECTION 6 – Key actions; both sections must be completed. Where performance expectations have not been met, as a minimum, a diarised follow up meeting must be scheduled within 4 months of the probation review discussion.

6a) Reviewer’s actions

6b) Reviewee’s actions


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SECTION 7 – Reviewer Recommendation (Where End of Probation Review)

☐ Probation has been successfully completed. Appointment to G8 is recommended

☐ Probation has not been completed successfully. Appointment should not be confirmed

and the matter should progress to a formal hearing.

☐ An extension of ____ months is recommended for the following reasons:

Signed ……………………………………………………………………. (Head of

School)

Date …………………………..…….

Comments by Individual

Signed …………………………………………………………………………………………. Date…………………………………………..

Comments by Dean

Signed ……………………………………………………………………………………………… Date……………………………………..

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