Performance Management Policy

Reference: GN15 Effective date: May 2014

Page no: 1 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

Purpose
The purpose of the performance management policy is to provide an appropriate framework within
which to manage the performance of employees.

The organisation recognises that performance management should be managed and implemented
using tools, techniques and processes which are consistent with its values and comply with legal
requirements. The organisation expects all its employees to participate in the supervision and
appraisal process positively and constructively, regardless to whether they are either conducting or
receiving a supervision or appraisal.

Please note that supervisions may also be known internally as ‘one-to-one meetings’ or ‘catch ups’.
For the purpose of this policy it the term “supervision” is used.

Scope
This policy applies to all staff employed except sessional workers. For employees who have been
absent for most of the year (maternity, sickness, sabbatical), it may not be appropriate to follow the
standard supervision & appraisal procedures. When the employee returns to work, the manager
should hold a “back to work” meeting with them to discuss what support is needed to reintroduce
them to the workplace and to agree objectives. At this time previous objectives should also be
considered in the context of what was reasonable for the employee to have achieved whilst they
were at work. A formal appraisal will then be held as usual in the supervision and appraisal cycle.

Policy and Procedure

The following are guidelines which should be followed when implementing an employee supervision
and appraisal process within the Farm.

Who conducts them

Both supervisions and appraisals should normally be conducted by the employee’s line manager or
someone who has management responsibility for the employee. The manager may seek feedback
from other people who work with the employee or for whom the employee has undertaken work in
order to inform at both the supervision and appraisal. The manager may also invite the Office
Manager to take part in the meeting.

When they take place

Employee reviews should be conducted in line with the timetable set by the line manager in
collaboration with the Office Manager. Appraisals normally take place after 3, 6, and 12 months in
the first year of employment and then at least every 6 months thereafter. Supervisions will take
place every 4-8 weeks.
 Performance Management Policy
Reference: GN15 Effective date: May 2014
Page no: 2 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

Preparing for the appraisal

The employee will be given sufficient notice (ordinarily 2 weeks) of the review date therefore giving
them time to prepare for the meeting. When notifying the employee of the appraisal date, the
manager will provide the employee with a self-assessment form to give them the opportunity to
evaluate their progress during the period since the last appraisal or since the start of employment.
The employee is responsible for ensuring that they complete the self-assessment form prior to
attending the meeting. Employees must also make sure that they can provide their manager with
evidence of their performance and any achievements made.

The appraisal meeting

The appraisal should normally be conducted as a one-to-one meeting between the individual and
their manager. If appropriate an external assessor or observer may also attend the meeting.

Once arranged, the manager should ensure the meeting takes place on time with no interruptions.
Meetings should only be postponed for exceptional reasons and should take place as soon as
possible and ideally within two weeks of the original date for the meeting. As a guide, appraisal
meetings are unlikely to be less than one hour but will vary with the complexity of the review.

Appraisal and supervisions must take place in a private environment where any matters discussed
can be kept confidential and arrangements should be made so that there will be no telephone or
other interruptions during the meeting.

The format of the appraisal will depend on the process in place within the employee’s department.
This should incorporate recognition of the employee’s achievements and contributions to their
department and a discussion of the employee’s own self-assessment and any development needs. In
addition, the manager and employee should review performance against the objectives they set
themselves during their previous appraisal and will agree objectives for the forthcoming 6 months.

Both appraisals and supervisions are an opportunity for open discussion and the manager should
ensure that the employee can talk freely about areas where they have not performed as expected or
the reasons why they have not had the opportunity to complete some objectives as well as about
the more positive aspects of their performance.

Written employee appraisal record

A written record of the meeting should be drawn up and signed by both the manager and employee.
The employee has the right to correct any factual errors in the appraisal meeting. If the employee
disagrees with the manager’s judgment they should be given the opportunity to record such
comments but the manager need not change their judgment if they believe it to be fair and
supportable.

The statement should include a summary of all the points covered, any action agreed and set out the
objectives for the forthcoming period. It should also identify any support needed and how this will
be met. A copy of the written record should be given to the employee and a copy kept on the
personnel file.
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Reference: GN15 Effective date: May 2014
Page no: 3 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

A continuous process though supervisions

Performance management is a continuous process of which the employee appraisal meeting is a

part. The appraisal should not contain any information that should have been discussed with the
employee during supervisions throughout the year. Managers should ensure that each member of
their team has regular supervision meetings – every 4-8 weeks. Supervisions allows the employee to
have face-to-face time with their manager to speak openly about what is going well and what is not.

Any changes, support or development needed should be agreed and put in place to ensure the
employee is able to achieve their objectives. The purpose of these meetings is to maintain contact
between the employee and manager, to review performance together and to develop and build
upon a trusting working relationship that will facilitate openness and honesty on a day to day basis.

It is advisable to record any agreements made or any significant discussions should be made for
future reference.

Disputes arising from a supervision or appraisal

If the employee feels that the feedback they have received from their manager has been unduly
negative, or disputes the assessment of their performance then they should discuss their concerns
further with their manager to determine the reasoning for the feedback, and if possible the
employee should provide evidence for their views.

If the employee is unable to resolve their concerns in this way, they may wish to raise a grievance in
line with the organisation’s grievance policy.

Identifying performance issues

In the first instance, performance issues should normally be dealt with informally between the
employee and their line manager as part of day-to-day management. Where appropriate, a note of
any such informal discussions may be placed on the employee’s file but will be ignored for the
purposes of any future capability hearings. The formal capability procedure should be used for more
serious cases, or in any case where an earlier informal discussion has not resulted in a satisfactory
improvement. Informal discussions may help to:

 Clarify the required standards

 Identify areas of concern
 Establish the likely causes of poor performance and identify any training needs and/or
 Set targets for improvement and a time-scale for review.

Employees will not normally be dismissed for performance reasons without previous warnings.
However, in serious cases of gross misconduct, or in any case involving an employee who has not yet
completed their probationary period, dismissal without previous warnings may be appropriate. See
Disciplinary Policy (GN04).

If the line manager has concerns about an employee’s performance, they will undertake an
assessment to decide if there are grounds for taking formal action under the capability procedure.
The assessment will depend on the individual circumstances but may involve reviewing a personnel
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Reference: GN15 Effective date: May 2014
Page no: 4 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

file including appraisal records, gathering relevant documents, monitoring work and, if appropriate,
interviewing the employee and/or other individuals confidentially regarding their work.

The Farm has a zero tolerance on poor behaviour and attitude, including disrespecting colleagues.
Line mangers will raise any concerns with an individual staff member if they show poor behaviour
and/or attitude, including disrespecting colleagues. This will be recorded and discussed at the
earliest opportunity through supervision one-to-one. If the poor behaviour and attitude continues,
then a formal capability procedure will be used. This is also highlighted in the Respect and Personal
Dignity policy.

Consideration will be given as to whether poor performance may be related to a disability and, if so,
whether there are reasonable adjustments that could be made to working conditions, including
changing your duties or providing additional equipment or training. If the employee wishes to
discuss this or inform us of any medical condition they consider relevant, they should contact their
line manager.

Our aim is to deal with performance matters sensitively and with due respect for the privacy of any
individuals involved. All employees must treat as confidential any information communicated to
them in connection with an employee who is subject to a capability procedure. The employee, and
anyone accompanying them (including witnesses), must not make electronic recordings of any
meetings or hearings conducted under this procedure. The employee will normally be told the
names of any witnesses whose evidence is relevant to the capability hearing, unless we believe that
a witness's identity should remain confidential.

Stage 1: pre-hearing
If we consider that there are grounds for taking formal action over alleged poor performance, the
employee will be required to attend a capability hearing. We will notify them in writing of our
concerns over their performance, the reasons for those concerns, and the likely outcome if we
decide after the hearing that their performance has been unsatisfactory. We will also include the
following where appropriate:

 A summary of relevant information gathered as part of any investigation.

 A copy of any relevant documents which will be used at the capability hearing.
 A copy of any relevant witness statements, except where a witness's identity is to be kept
confidential, in which case we will give as much information as possible while maintaining
confidentiality.

We will give the employee written notice of the date, time and place of the capability hearing. The
hearing will be held as soon as reasonably practicable, but they will be given a reasonable amount of
time (usually two to seven days) to prepare a case based on the information they have been given.

The employee may bring a companion to any capability hearing or appeal hearing under this
procedure. The companion may be either a trade union representative or a colleague who also
works for WHCF. The employee must tell the manager conducting the hearing who their chosen
companion is, in good time before the hearing (two to seven days).
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Reference: GN15 Effective date: May 2014
Page no: 5 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

 A companion is allowed reasonable time off from duties without loss of pay but no-one is
obliged to act as a companion if they do not wish to do so.
 If we consider the choice of companion is unreasonable we may require you to choose someone
else, for example:
− If in our opinion your companion may have a conflict of interest or may prejudice the
hearing; or
− If your companion is unavailable at the time a hearing is scheduled and will not be available
for more than five working days.

We may, at our discretion, allow a companion who is not a colleague or union representative (for
example, a member of the employee’s family) where this will help overcome a particular difficulty
caused by a disability, or where the employee has difficulty understanding English.

The companion may make representations, ask questions, and sum up the case, but will not be
allowed to answer questions on the employee’s behalf. The employee may confer privately with
their companion at any time during the hearing.

If the employee or the employee’s companion cannot attend the hearing they should inform us
immediately and we will usually arrange an alternative time. The employee must make every effort
to attend the hearing, and failure to attend without good reason may be treated as misconduct in
itself. If the employee fails to attend without good reason, or are persistently unable to do so (for
example, for health reasons), we may have to take a decision based on the available evidence.

The employee may ask relevant witnesses to appear at the hearing, provided they give us sufficient
advance notice to arrange their attendance. The employee will be given the opportunity to respond
to any information given by a witness. However, they will not normally be permitted to cross-
examine witnesses unless, in exceptional circumstances, we decide that a fair hearing could not be
held otherwise.

Stage 2: the hearing

The capability hearing will usually include:

 Setting out the required standards that we believe the employees may have failed to meet, and
going through any relevant evidence that we have gathered.
 Allowing the employee to ask questions, present evidence, call witnesses, respond to evidence
and make representations.
 Establishing the likely causes of poor performance including any reasons why any measures
taken so far have not led to the required improvement.
 Identifying whether there are further measures, such as additional training or supervision, which
may improve performance.
 Where appropriate, discussing targets for improvement and a time-scale for review.
 If dismissal is a possibility, establishing whether there is any likelihood of a significant
improvement being made within a reasonable time and whether there is any practical
alternative to dismissal, such as redeployment.
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Reference: GN15 Effective date: May 2014
Page no: 6 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

A hearing may be adjourned if we need to gather any further information or give consideration to
matters discussed at the hearing. The employee will be given reasonable opportunity to consider
any new information obtained before the hearing is reconvened.

We will inform the employee in writing of our decision and our reasons for it as soon as possible
usually within one week of the capability hearing. Where possible we will also explain this
information to the employee in person.

Stage 3: first written warning or improvement note

Following a capability hearing (stage 2), if we decide that the employee’s performance is
unsatisfactory, we will give them a first written warning or an improvement note, setting out:

 The areas in which they have not met the required performance standards.
 Targets for improvement.
 Any measures, such as additional training or supervision, which will be taken with a view to
improving performance.
 A period for review.
 The consequences of failing to improve within the review period, or of further unsatisfactory
performance.

The warning or improvement note will normally remain active for six months from the end of the
review period, after which time it will be disregarded for the purposes of the capability procedure.
After the active period, the warning will remain permanently on your personnel file but will be
disregarded in deciding the outcome of future capability proceedings.

The employee’s performance will be monitored during the review period and we will write to inform
them of the outcome:

 If the line manager is satisfied with performance, no further action will be taken;
 If the line manager is not satisfied, the matter may be progressed to Stage 4; or
 If the manager feels that there has been a substantial but insufficient improvement, the review
period may be extended.

Stage 4: final written warning

If the employee’s performance does not improve within the review period set out in a first written
warning or an improvement note, or if there is further evidence of poor performance while the first
written warning or improvement note is still active, we may decide to hold a second capability
hearing. We will send written notification of this.

As before the employee has the right to attend the hearing with a companion. The 2nd hearing will
follow the same format as the first. Following a second capability hearing, if we decide that
performance is unsatisfactory, we will give a final written warning, setting out:

 The areas in which the employee has not met the required performance standards;
 Targets for improvement;
 Any measures, such as additional training or supervision, which will be taken with a view to
improving performance;
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Reference: GN15 Effective date: May 2014
Page no: 7 of 7 Approved: 12 Sept 22
Last revision: 3 Aug 22 Next revision due: Aug 24

 A period for review;

 The consequences of failing to improve within the review period, or of further unsatisfactory
performance.

A final written warning will normally remain active for 12 months. After the active period, the
warning will remain permanently on the employee’s personnel file but will be disregarded in
deciding the outcome of future capability proceedings.

Performance will be monitored during the review period and we will write to inform the employee
of the outcome:

 If the line manager is satisfied with the performance, no further action will be taken;
 If the line manager is not satisfied, the matter may be progressed to a final capability hearing; or
 If the manager feels that there has been a substantial but insufficient improvement, the review
period may be extended.

Stage 5: dismissal or redeployment

We may decide to hold a 3rd capability hearing if we have reason to believe:

 Performance has not improved sufficiently within the review period set out in a final written
warning;
 Performance has been unsatisfactory while a final written warning is still active; or
 Performance constitutes gross misconduct such as to warrant dismissal without the need for a
final written warning.

We will send written notification of the hearing. The hearing will follow the same format as previous
hearings and the employee has the right to a companion to attend if they wish. Following the
hearing, if we find that performance is still unsatisfactory, we may consider a range of options
including:

 Dismissal.
 Extending an active final written warning and setting a further review period (in exceptional
cases where we believe a substantial improvement is likely within the review period).
 Giving a final written warning (where no final written warning is currently active).

The decision must be authorised by a senior manager. Dismissal must be authorised by the CEO.

Dismissal will normally be with full notice or payment in lieu of notice, unless performance has been
so negligent as to amount to gross misconduct, in which case we may dismiss the employee without
notice or any pay in lieu thereof.