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A Brief about - Probation and Confirmation Policy

The probation and confirmation policy provides information about the terms and condition that a new employee should follow during probation period. The policy conveys that probation period is an opportunity to both new employee and their manager to do get adjusted and to improve the performance.

Probation and Confirmation Policy - HR Helpboard

The probation period is a duration in which the performance and behavior of the newly hired employee is monitored by his or her manager in order to check their potential as well as their suitability to the job. The probation and confirmation policy clearly stated that a new employee should meet the set standard performance, should follow the code of conduct of the organization and behave in an acceptable manner. Some organization has 3 months of probation testing while others follow 6 months or 1 year of probation period. The probation examination period is also considered as an extension of selection process. The probation process begins with appointment and later stages include job allocation, completion of probation period and review of performance. If the employee meets the expectation of organization in terms of performance then confirmation letter is provided to the employee. The reporting manager and HR department plays important role throughout the critical examination and evaluation period. In case the employee fails to reach the standard performance during probation period the organization has a right to terminate the employee.The cases such as maternity or paternity leave and non-recurring illness the organization should consider the extension of probation period on the prerequisite that both the party agree with the extension.

Guidelines for Probation and confirmation Policy

The guidelines are provided in the probation and confirmation policy for such cases and training efforts are suggested to be taken before termination of the employee. The employment probation and extension rules are as follow-

• It is mandatory for all employees to undergo the probation period.

• Reporting manager and HR department will be responsible for the monitoring of the newly joined employee during employment probation period.

• After joining the reporting manager will assign job to the employee and will set a standard goal or target. This goal should be agreed by both the parties.

• At the end of the probation period the set performance target and the achieved performance will be compared by the reporting manager.

• If the new employee fails to achieve the standard performance then organization may arrange training program for the improvement of performance. However, if the employee repetitive fails to achieve the set performance then organization has a right to terminate the employee.

• The new employee is bound to follow the code of conduct of the organization in the case of misconduct the appointment of employee will be terminated on immediate basis.

• When employee achieves the set performance, follows the code of conduct and shows decent behavior in the organization then on the recommendation of manager the HR department will issue the confirmation letter.

• The cases such as maternity or paternity leave and non-recurring illness the organization should consider the extension of probation period on the prerequisite that both the party agree with the extension.

Disclaimer: The probation & confirmation policy designed here is only to provide clarity about what is probation and what are the terms and conditions linked with probation evolution period. Across the world there exist different versions of probation and confirmation policy. The site hrhelpboard.com is not claiming the profession accuracy of the policy. It is recommended to verify the suitability of the sample policy before its application in the organization.

Sample Probation and Confirmation Policy

Contents

1. An objective of Probation and Confirmation Policy

2. The scope of Probation and Confirmation Policy

3. What is Probation Period?

4. What are the Principles of Probation?

5. What is Appointment with Probation?

6. Opportunities of Probation.

7. The Framework of Probation Policy

8. Responsibilities at Each Stage of Probationary Process

9. Three points for Employment Confirmation

10. When the Performance is Not Satisfactory during Probation Period.

11. Confirmation of Employment or Termination.

12. Termination of Contract

13. Extension of Probationary contract

14. Industry Innovative Practices.

Sample Probation and Confirmation Policy
With Example

1. Objective

The probation and confirmation policy provides a pathway for the review of employee performance during their probation period and conditions that one should follow for the confirmation.

2. Scope

The policy is applicable to all the newly hired employees working in different departments of the organization. The full time and permanent employees are included under this policy while the policy is not applicable to ‘on contract’ or part-time employees of the organization.

3. What is Probation Period?

Scholars have defined probation phase as the extended selection process. Generally the end of the selection process is recruitment of the employees; however, the recruitment took place based on the previous work experience of the candidate along with the interview performance. Here, the employer is not aware of the exact performance the candidate will provide after joining. Also, there is an ambiguity about whether the candidate will be right fit in as the employee of the organization. Thus, by assigning probation, the organization checks the performance of the newly joined employee and ensures their integration in the organization. The probationary process provides an opportunity for the employer to verify the suitability of the employee for the assigned job and then take an appropriate decision about retention or termination of the employee.

4. What are the Principles of Probation for Employees?

The probationary process is underpinned by effectiveness, equity, and accountability. It is essential that the reporting managers should provide timely feedback to the newly hired employees on their performance. It is the natural justice principle which suggests that managers are responsible for providing support, helping new employees to resolve the work-related queries and making arrangements for appropriate training and development activities.

5. What is Appointment with Probation?

The newly hired employee who has joined the organization on the basis of a contract of one-year probation is known as an appointment with mandatory probation. If the employee completes the employment probation period with satisfactory performance then employment confirmation will be provided by the organization. The probation period varies from 3 months to 1 year based on the type of organization and the industry. Transfer to another branch/city/country is prohibited during the employment probation period.

6. Opportunities

The general view of probationary phase might be negative as it interferes with the sense of job security. However, in the true sense it provides different opportunities to new employees and their managers.

From the new employee’s point of view

• The probation is a duration in which the new employee gets an opportunity to learn and understand the job.

• The training facilities are provided by the employer which enhances the competence of the newly hired employees.

• Before getting the responsibility on the shoulder during the probation period the new employee can adapt to the work environment of the company.

• The probation period helps to gain awareness about the strengths and the area in which the employee needs improvement.

• It is an opportunity to demonstrate the performance, commitment towards the organization and to maintain satisfactory work behavior during a probation period.

From the manager’s point of view

• Managers get the opportunity to monitor the newly hired employees in terms of the progress in a job and their conduct in the organization.

• Managers can build up a good rapport with the new employees and motivate them to work for the organization.

• Managers get a chance to conduct a performance review of new employees before offering them a permanent employment.

• Managers can recommend the confirmation or termination of the newly hired employees based on their performance and behavior during the probation period.

7. The Framework of Probation Policy

The framework of probation policy includes different stages and verification processes. The new employee, reporting manager, and the HR department are part of the probationary process. Post recruitment the HR department confirms the appointment of the new employee and provides them with induction. The induction program is important to make new employees aware of their job responsibilities, the organizational policies and behavioral norms of the company. After the induction program, the reporting manager assigns the job to the newly hired employee based on their profile. Until completion of probation period the employee performs various jobs as per the requirement of the organization and at the end, the manager conducts the performance review. The review consists of a comparison of the expected performance or set objectives given by the organization to the employee against their actual performance. If the employee meets the expectation of the manager as well as the organization then employment confirmation is provided. In case the employee fails to meet the expectation the company can either terminate the employment or can consider the employee for further training to improve their performance.

The Framework of Probation Policy -hrhelpboard-hrpolicy

Fig: - The Framework of Probation Policy

8. Responsibilities at Each Stage of Probationary Process

The new employees try to get quickly adjust in the organization and to achieve the set goal. In this process during probation, reporting manager (supervisor) and HR department play important role in early adjustment and performance of the newly hired employees. In each stage of the probationary process, both manager and the HR department have unique responsibilities.

8.1 Responsibilities of Managers

The reporting manager or supervisor is the one who monitors the new employee during the probation period. The responsibilities of managers’ includes-

a. Appointment and Induction

During this stage manager should provide a brief introduction and induction to newly hired employees into the local unit of the organization. The manager should provide Role Profile Form to the new employee and make them understand their job role. The manager should make arrangements for training if it is required.

b. Job Assignment

Manager is responsible to assign the suitable job to the new employee based on their qualification, past experience, and job role. The manager should make sure that all the facilities and support is available for the employee to execute the given job. A manager should provide required assistance and feedback on the performance of employees during a probation period. The manager should assign a fixed goal to achieve or set an objective for the new employees based on which the performance will be judged.

c. Completion of Probation Period

After completion of probation period manager is responsible to convey the new employee about the further review process which will be followed by the organization. A manager should also highlight the do’s and don’ts the new employee should follow during a performance review. The manager is responsible to convey the documents and proofs which new employees should produce during performance review process.

d. Performance Review

Here, the manager should conduct a one to one meeting with the new employee for a performance review. The manager should first gather all the performance related information of the new employee during the probation period and compare it against the set goal. In a performance review meeting manager mainly provide appropriate feedback on the work performance of the new employee and discuss the difficulties they face while working in the organization.

e. Expectation fulfillment verification

Manager is responsible to submit a detailed report to HR department about whether the performance expectation is fulfilled by the new employee. A manager has to generate all the proofs of performance and provide the clarification about the grading they have given to the new employee.

f. Confirmation

If the employee meets the expectation of organization in terms of performance then confirmation letter is provided to the employee. Based on the review of manager the employment confirmation of new employee is decided. Further, the manager should accommodate the new employee in their team as a permanent team member.

8.2 Responsibilities of HR Department

The HR department keeps a close watch on the behavior of new employee during a probation period. The responsibilities of the HR department includes-

a. Appointment and Induction

HR department is responsible to inform the new employee about the appointment with probation along with its terms and conditions. The HR department should get the appointment contract signed by the new employee and provide them the copy of the training material, guidelines and probation policy of the organization. HR department should resolve all the queries and doubts the newly hired employee states regarding the probation policy. The HR department is responsible for the arrangement of an induction program for the newly hired employee. The HR department should convey the code of conduct and behavioral norms of the organization. On the recommendation of reporting manager of newly hired employee the HR department is responsible to arrange the required training program during the probation period.

b. Job Assignment

The HR department has to monitor if the new employee has got relevant job assignment from their respective managers. HR department has to make sure that new employees are well aware of their job profile and provided all the facilities required to execute the job. HR department has to collect the details of the set goal assigned by the manager of the newly hired employee. HR department also makes sure that new employees are well accommodated by their teammates.

c.Completion of Probation Period

After completion of probation period, the HR department should provide the performance review form to the new employee. The HR department should collect all the details regarding the work profile, the job performed, feedback of the manager regarding work performance and feedback of teammates regarding the behaviour of the new employee during the probation period.

d. Performance Review

HR department is responsible for the behavior performance review of the newly hired employee. The HR manager or executive conduct meeting with the new employee and discuss their behavior in the organization. The HR department also makes a note about any complaints which new employee has filed about harassment or non-co-operation from teammates or manager of the employee.

e. Expectation fulfillment verification

The HR department has to see if the new employee has properly followed the behavioral norms and code of conduct of the organization. It is also responsible to collect the performance feedback from the manager of a newly hired employee.

f. Confirmation

As per the recommendation of the manager and result of behavior performance review the HR department will issue the employment confirmation letter to the new employee.

9. Three points for Employment Confirmation

There are three important conditions which new employees should fulfill in order to get employment confirmation after completion of probation period. The organization should set three important conditions which are mandatory to be followed in order to gain employment confirmation. The reporting manager and HR department will be responsible for the verification of the conditions and further to issue employment confirmation to the newly hired employee.

Conditions for Employment Confirmation -hrhelpboard

Fig:- Conditions for Employment Confirmation

a) Work performance was satisfactory as per organizational standard

The HR department collects the information about the Role Profile Form and the work plan on which the new employee agreed to execute. The manager will take care that new employee will be able to finish a given range of tasks on the set deadlines. If there is a gap between the agreed work plan, the set target and the actual performance of the employee then manager have an authority to conclude that work performance was not satisfactory. Here the HR department will ensure the interventions in terms of job training, self-managed learning and coaching should be provided to the new employee before as well as during the work performance execution. If a new employee performs as per the set standard then the first condition of employment confirmation is fulfilled.

b) Leave record was satisfactory and within the limit set for a probation period

During the 12 months of probation period, 46 days of paid leave is allotted to a new employee. Further at the discretion of HR Manager/Reporting Manager/Personnel Officer 45 days at half pay over leave can be provided during a probation period. After completion of probation period, HR department calculates the total sick leave and overall leave taken by the new employee and thus provides the remark about satisfactory or unsatisfactory leave record.

Note- The paid leave and pay over leave structure can be different in various companies based on the industry and company norms.

c) Conduct, Attendance, and punctuality was good

The record pattern of attendance and punctuality will be checked from the ‘Time In register’ or Punching machine. It is important that new employees report to the office every day on time and complete the work duration in the organization. The remarks like ‘late mark’ or ‘early out’ will have a negative impact on the review process and the intention to retain the employee. The review about the conduct of new employee will be compiled based on the feedback of team members.

10. When the Performance is Not Satisfactory during Probation evaluation Period

A number of steps should be taken when the performance of probationer is not satisfactory and does not match the work standards.

1. Manager or HR department should discuss each unsatisfactory action/excessive leaves/ poor performance with the new employee. The recorded discussion should be dual signed by the employee and the manager.

2. Manager or HR department should convey to the new employee that management is ready to help him/her to enhance their performance/conduct in order to achieve the acceptable standard of the performance/conduct.

3. The options such as training, coaching, and development programs should be explored to improve the performance of the new employee.

4. In case of issues related to conduct or attendance, a verbal clear message or a memo can be generated to the new employee to clarify about the standard code of conduct and allotted leave during a probation period.

5. In the case of health issues or medical emergency, the new employee should submit the sick certificate to the HR department. The advice of the higher management will be considered in such case before the decision of termination.

11. Confirmation of Employment or Termination

The reporting manager will provide a recommendation regarding the employment confirmation or termination of the probationary employee. In the review meeting, it is important to convey the feedback to the new employee on their performance. If the new employee consistently fails to reach the standard performance then the manager should inform him or her about the deficiencies. The motive behind review meeting is to help the new employee to improve their performance and to convey them that in the case of ‘no improvement’ employment will be terminated.

12. Termination of Contract

The probationary employee who does not complete the probation period in a satisfactory manner will have their appointment terminated. The termination can take place at the end of the probation period or any time in between depending on the case. The minimum notice of one month is provided before the termination of the contract. In the case of misconduct, the employment will be terminated immediately without any due notice

Note- In any case of conflict/dispute or requirement of special assistance during the probation period the employee can approach Employee Assistance Service (EAS) available in the organization.

13. Extension of Probationary contract

The extension of the probationary contract is not that common but considered in few circumstances. It is mandatory that the extension of the probationary contract is agreed upon by both the party. The cases given below are eligible for the extension of probationary contract-

1. Maternity leave or Adoptive/Parental leave- When an employee is absent during the probation period with maternity or adoptive leaves the probation will stand suspended and its varies case to case as per govt polices . The probation period will restart once the employee rejoins after leave.

2. Non-recurring illness- If the employee falls ill during the probation period which is a non-recurring illness then probation period will be suspended during the absence of the employee.

Any other case which is recommended by the reporting manager or HR department can be considered for probation period extension based on the severity of the circumstances.

14. Industry Innovative Practices

Innovation is key to success, and thus in each and every part of probation rules there are some companies which use idea which are employee friendly. Innovation in terms of lower the anxiety and uncertainty in the environment is a way to make the new employee feel comfortable in the organization. Such project is run by Infosys which is termed as ‘Buddy’. Here, apart from manager, another senior team member has given responsibility to help in adjustment of new employee in probation period. The team member will help new employees to understand the terms and conditions of the probation period and support them to improve their performance. In this way it will be easy for new employee to successfully complete the probation period and receive confirmation letter.

Another innovative practice is carried out in various universities. In the academic area it is difficult to start teaching the student on the very first day on joining. During probation period the new employee are worried about the way student will react and how they will rate their teaching. Thus, during probation period some universities allow the new employee joined on the junior level to attend the class of a senior employee. In this way the employee can take notes about how to handle the class and can observer the students reaction. At the end of the session the senior employee introduce the new employee to the students and thus provide a happy starting to their career. This is a best innovative way to reduce the anxiety, provide clarity about work profile and help the new employee to complete the probation period in satisfactory manner.

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